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Encyclopaedia
of the
SOCIAL
SCIENCES
EDITOR-IN-CHIEF
EDWINR.A.SELIGMAN
ASSOCIATE EDITOR
ALVIN JOHNSON
VOLUME THIRTEEN
PURITANISM-SERVICE
THE MACM1LLAN COMPANY
MCML NEW YORK
COPYRIGHT, 1934, BY THE MACMILLAN COMPANY
All rights reserved no part of this book may be reproduced in any form
without permission in writing from the publisher except
by reviewers who wish to quote brief passages in
connection with a review written for
inclusion in magazines or
newspapers
Published July, 1934
Reprinted April, 1935
Reissued (Volumes XIII and XIV combined), November, 1937.
Reprinted August, 1942.
Reprinted June, 1944.
Reprinted January, 1946
Reprinted February, IQ4Q
Reprinted February, 1950.
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EDITORIAL STAFF
EDITOR-IN-CHIEF
EDWIN R.A.SELIGMAN
McVickar Professor Emeritus of Political Economy in Residence, Columbia University;
LL.B., Ph.D. and LL D ; Hon. D., University of Paris and Heidelberg University, Cor-
responding Member of the Institut de France and of the Masaryk Sociological Society,
Czechoslovakia; Member of the Accadenua dei Lmcei, of the Russian Academy of
Science, of the Norwegian Academy of Science, of the Cuban Academy of Political
and Social Science and of the Accadenua delle Scienze Morali e Politiche; Laureat
of the JUlgtan Academy of Science; Foreign Correspondent of the Royal
Economic Society; Ex-President of the American Economic Association, of the
National Tax Association and of the American Association of University Professors
ASSOCIATE EDITOR
ALVIN JOHNSON, PH. D.
Director of the New School for Social Research
ASSISTANT EDITORS
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JOHN A, FAIRLIE WESLEY C, MITCHELL
JOHN K NORTON
MARGARET FLOY WASHBURN
HOWARD B, WOOLSTON
JAMES COUZENS
THOMAS W. LAMONT
Lay
JOHN J, RASKOB
ROBERT E, SIMON
JESSE I, STRAUS
SILAS H. STRAWN
OWEN D. YOUNG
CONTRIBUTORS TO VOLUME THIRTEEN
Adams, Frank
University of California
Albright, W. F.
Johns Hopkins University
Allyn, Emily
Wilson College
Andrews, C. F.
Santiniketan, Bengal
Angell, James W.
Columbia University
Baldensperger, Fernand
University of Pans
Barbagallo, Corrado
Regw Istituto Superiore di Scienze
Economiche e Commercially Naples
Beale, Howard K.
Washington, D. C.
Becker, Carl
Cornell University
Benedict, Ruth
Columbia University
Bent, Silas
New York City
Berend, Eduard
Berlin
Berle, A. A., Jr.
Columbia University
Bernaldo de Quir6s, C.
Madrid
Bernard, L. L.
Washington University
Bertholet, Alfred
University of Berlin
Bigelow, Karl W.
University of Buffalo
Bird, Frederick L.
New York City
Black, J. B.
University of Aberdeen
Boas, Franz
Columbia University
Bodfish, Morton
Northwestern University
Bonn, Moritz Julius
London School of Economics and Po-
litical Science
Bore hard, Edwin M.
Yale University
Borgese, G Ant.
Smith College
Bougie, C.
University of Paris
Bowlcy, Marian
London
Briefs, G.
Technische Hochschule. Berlin
Brinkmann, Carl
University of Heidelberg
Bnnton, Crane
Harvard University
Bnssenden, Paul F.
Columbia University
Buehler, Alfred G
University of Vermont
Cantor, Nathaniel
University of Buffalo
Chafce, Zechanah, Jr.
Harvard University
Chalupny, Emanucl
Svobodna Skola Politickych Nauk
Prague
Chappell, A. F.
Manchester
Cheyney, Edward P.
University of Pennsylvania
Cleven, N Andrew N.
University of Pittsburgh
Coker, Francis W.
Yale University
Cole, Arthur C.
Western Reserve University
Cole, G. D. H.
University of Oxford
Cole, Taylor
Louisiana State University
Colmo, Alfredo
Buenos Aires
Condhffe, J. B.
Canterbury College, Chnstchurch,
New Zealand
Copeland, Melvin T.
Harvard University
Encyclopaedia of the Social Sciences
Craven, Avery
University of Chicago
Cunow, Heinnch
University of Berlin
Curti, Merle E
Smith College
Davies, Stanley P.
Charity Organisation Society,
New York City
Dedk, Francis
Columbia University
Devaux, Jean
University of Toulouse
Diehl, Charles
University of Paris
Dietz, Frederick
University of Illinois
Billiard, Irving
St. Louis, Missouri
Doyle, Phyllis
London
Eckel, Edwin C.
Washington, D. C.
Emaudi, Luigi
University of Turin
Enghs, Charles
University of Brno
Evans, Austin P.
Columbia University
Fay, Sidney B.
Harvard University
Fohr, Hans
University of Berne
Feller, A. H.
Harvard University
Fetter, Frank A.
Princeton University
Feugere, Anatole
University of Toulouse
Figueiredo, Fidelmo de
Academy of Sciences, Lisbon
Fisher, Lillian Estelle
Oklahoma College for Women
Fliche, Augustm
University of Montpellier
Ford, Percy
University College,
Southampton
Frankfurter, Felix
Harvard University
Freeman, Joseph
New York City
Freund, Michael
Berlin
Fried rich, A A.
New York University
Fried rich, Carl Joachim
Harvard University
Friess, Horace L
Columbia University
Galloway, Lee
New York City
Gardiner, A. G.
London
Gay, Edwin F.
Harvard University
Gehng, Hans
Technische Hochschule, Dresden
Georgievsky, P. I.
Prague
Gmzburg, Benjamin
New York City
Glotz, Gustave
University of Paris
Gluck, Elsie
Encyclopaedia of the Social
Sciences
Gobbi, Uhsse
Universita Commerciale Luigi
Bocconi, Milan
Goetz, Walter
University of Leipsic
Gold, Norman Leon
University of California
Goldenweiser, Alexander
University of Oregon
Graziam, Augusto
University of Naples
Greenstone, Julius H.
Gratz College
Gnziotti, Benvenuto
University of Pavia
Groethuysen, B.
University of Berlin
Grubb, Isabel
Carrick-on-Suir, Irish Free State
Grunfeld, Ernst
University of Halle
Grunthal, Adolf
Berlin
Gulick, Charles A., Jr.
University of California
Gurfein, Murray I.
New York City
Gurvitch, Georges
Paris
Contributors to Volume Thirteen
XI
Gutmann, James
Columbia University
I lacker, Louis M.
Encyclopaedia of the Social
Sciences
Halbwachs, Maurice
University of Strasbourg
Halphcn, Louis
Ecole des Hautes Etudes^
Pans
Handler, Milton
Columbia University
Hanmer, Lee F.
Russell Sage Foundation
Hanson, Alice C.
Chicago
Harris, Joseph P.
University of Washington
Harsm, Paul
University of Liege
Hart, Henry M., Jr.
Harvard University
Hay don, A Eustace
University of Chicago
Hayek, Fried rich A.
London School of Economics
and Political Science
Hedden, W. P.
Port of New York Authority
Herskovits, Melville J
Northwestern University
Heuss, Theodor
Deutsche llochschulc fur Politik,
Berlin
Hintze, Hedwig
Berlin
Hippel, Ernst von
University of Konigsberg
Hippel, Robert von
University of Gotttngen
Hocart, A. M.
London
Hockmg, William Ernest
Harvard University
Hohman, Elmo P.
Northwestern University
Hollander, Jacob H.
Johns Hopkins University
Hook, Sidney
New York University
Howard, Pendleton
University of Idaho
Hubert, Rend
University of Lille
Isaacs, Nathan
Harvard University
Iversen, Carl
University of Copenhagen
James, M.
London School of Economics and Po-
litical Science
Jcnks, Leland H.
Wellesley College
Jessup, Philip C
Columbia University
Joad, C E M.
Hampstead, England
Johnson, E A. J.
Cornell University
Jordan, H Donald son
Clark University
Kallcn, Horace M.
New School for Social Research
Kanellopoulos, Panajotis
University of Athens
Kantorowicz, Hermann
New School for Social Research
Kaplan, A D. II.
University of Denver
Keilhau, Wilhelm
University of Oslo
Kiesshng, O E.
Washington, D. C.
Kirby, Ethyn Williams
Providence
Klein, Philip
New York School of Social
Work
Knight, Frank H
University of Chicago
Kmght, McKm M
Unn ersity of California
Kohler.W.
University of Heidelberg
Kohn, Hans
Smith College
Koht, Halvdan
University of Oslo
Komora, Paul O.
New York City
Konkle, Burton Alva
Swarthmore, Pennsylvania
Kosmmsky, E. A.
Moscow
Koyre, Alexandra
Ecole Pratique des Hautes
Etudes, Paris
tincydopaedia of the Social Sciences
xu
Kunsshcrg, Ebcrhard von
University of Heidelberg
Labriollc, Pierre de
University of Paris
Laistner, M L. W.
Cornell University
Larrabee, Harold A
Union C 'allege , Schenectady
Latourctte, K S.
Yale University
Lederer, Emil
New School for Social Research
Ledermann, L
University of Geneva
Lefebvre, G
University of Strasbourg
Lehmann, Walter
Berlin
Leontovich, V.
Berlin
Levi, Alcssandro
University of Parma
Levy, Raphael
University of Baltimore
Lewis, Howard T.
Harvard University
Lindahl, Erik
Handelshogskolan^
Goteborg
Lotz, W
University of Munich
Lowie, Robert II
University of California
Lutz, Harley L.
Princeton University
Macartney, Carhle A
London
McBam, Howard Lee
Columbia University
Mann, Fritz Karl
University of Cologne
Marshall, George
New York City
Matl, Josef
University of Graz
Mayer, Gustav
University of Berlin
Mazzei, Jacopo
Regio Istituto Superior e di Scienze
Economiche e Commercially
Florence
Meerwarth, Rudolf
University of Leipsic
Megaro, Gaudence
New York City
Meissner, Bruno
University of Berlin
Mernam, Ida Craven
Encyclopaedia of the Social
Sciences
Mestre, Achille
University of Paris
Meusel, Alfred
Copenhagen
Meyer and, Gladys
Encyclopaedia of the Social
Sciences
Miakotm, V.
University of Sofia
Miliukov, Paul
Paris
Miller, Nathan
Carnegie Institute of Technology
Mommsen, Wilhelm
University of Marburg
Mott, Lewis F.
New York City
Mutschler, C.
Basel
Nettlau, Max
Vienna
Neumann, Sigmund
Forschungsstelle an der Deutschen
Hochschule fur Politik, Berlin
Nevins, Allan
Columbia University
Niebuhr, II. Richard
Yale University
Nilsson, Martin P.
Umversiiy of Lund
Nolen, John
Harvard TJniversity
Notz, William F.
Georgetown University
Nystrom, Paul H.
Columbia University
Odebrecht, Rudolf
University of Berlin
Odinetz, D.
Institut Franco-Russe, Paris
Ogg, David
University of Oxford
Oncken, Hermann
University of Berlin
Orton, William A.
Smith College
Contributors to Volume Thirteen
Xlll
Parodi, D.
Paris
Parsons, Talcott
Harvard University
Perlman, Jacob
University of North Dakota
Person, H. S.
Taylor Society, New York City
Peterson, Shorey
University of Michigan
Pinson, Koppel S
Encyclopaedia of the Social
Sciences
Plomer, William
London
Plucknett, Theodore F. To
London School of Economics and Po-
litical Science
Plummer, W. C.
University of Pennsylvania
Pound, Roscoe
Harvard University
Pouthas, Charles H.
Lycte Janson de Sailly, Paris
Pratt, Julius W.
University of Buffalo
Pribram, Alfred Francis
University of Vienna
Pribram, Karl
The Brookings Institution, Washing-
ton, D. C,
Pringle, Henry F.
New York City
Puckett, Hugh Wiley
Columbia University
Radcliffe-Brown, A. R.
University of Chicago
Radin, Max
University of California
Rddl, Emanuel
University of Prague
Reddaway, W. F.
University of Cambridge
Reed, Harold L.
Cornell University
Reed, Thomas H.
University of Michigan
Rees, J. F.
University College of South Wales
and Monmouthshire
Reigbert, Robert
Nuremberg
Reisner, Edward H.
Columbia University
Richardson, J H
University of Leeds
Robinson, Howard
Miami University, Oxford,
Ohio
Rodee, Carlton C
Yale University
Rohden, Peter Richard
University of Berlin
Ruggiero, Guido de
Regio htttuto Superiors di Magis
tero, Rome
Ruhland, Curt
University of Kiel
Salin, Edgar
University of Basel
Salomon, Gottfried
Pans
Sal/, Arthur
Cambridge, England
Sauer, Carl
University of California
ScheviH, Ferdinand
University of Chicago
Schiller, A. Arthur
Columbia University
Schin/, Albert
University of Pennsylvania
Schneider, Herbert W.
Columbia University
Seaglc, William
Encyclopaedia of the Social
Sciences
Seybolt, Robert Francis
University of Illinois
Sharfman, I L
University of Michigan
Shippce, L B
University of Minnesota
Shulman, Harry
Yale University
Sicbold, Martin
Bochum, Westphalia
Simon, Ernst
Haifa, Palestine
Skalweit, August
Universitv of Frankfort
Slesmger, Donald
University of Chicago
Slochovver, Harry
Brooklyn College
Smellie, K.
London School of Economics and
Political Science
XIV
Encyclopaedia of the Social Sciences
Sommer, Franz
Munich
Sommer, Louise
University of Geneva
Sterner, W, H
Brooklyn College
Stenton, F M.
University of Reading, England
Stephenson, Mary
Washington,!) C,
Stephenson, N. W.
Scripps College
Strieder, Jakob
University of Munich
Studenski, Paul
Netv York University
Sullivan, Oscar M
Minnesota State Department of
Education
Teilhac, Ernest
University of Poitiers
Teschemacher, Hans
University of Tubingen
Todd, Elizabeth
Encyclopaedia of the Social
Sciences
Todd,T Wmgate
Western Reserve University
Totomianz, V
Sofia, Bulgaria
Tozzer, Alfred M.
Harvard University
Trimble, K G.
Umvenity of Kentucky
Trumbowcr, Henry R.
University of Wisconsin
Van Hove, A,
University of Louvain
Wambaugh, Sarah
Cambridge, Massachusetts
Weber, Wilhelm
University of Berlin
Weill, Georges
University of Caen
Westcrgaard, Harald
University of Copenhagen
Weulersse, G
Ecole Normale Supmeun de Saint-
Cloud
Whittlesey, Charles R.
Princeton University
Williams, Mary Wilhelrnine
Goucher College
Winslow, C -E. A,
Yale University
Wirth, Louis
University of Chicago
Woodbury, Robert M
Washington, D. C.
Wulf, Maurice de
University of Louvain
Zevaes, Alexandre
Paris
Zielenziger, Kurt
Paris
Zimmerman, Carle C.
Harvard University
CONTENTS
Contributors to Volume Thirteen
Articles
PURITANISM
PUTMAN, FREDERIC WARD
PUTTER, JOIIANN STEPHAN
PUTTING OUT SYSTEM
PYM, JOHN
QUAKERS
QUANTITY THEORY OF MONEY
QUARRYING
QUATREFAGES DE BREAU, JEAN-LOUIS ARMAND
DE
QUENTAL, ANTIIERO TARQUINIO DE
QUESNAY, FRANCOIS
QUETELET, ADOLPHE
QUINET, EDGAR
IX
RABANUS MAURUS, MAGNENTIUS
RABELAIS, FRANCOIS
RACE
RACE CONFLICT
RACE MIXTURE
RACE PREJUDICE
RACHEL, SAMUEL
RACIIFAHL, FELIX
RACKETEERING
RACKI, FRANJO
RADIC, STJEPAN
RADICALISM
RADIO
HISTORY AND ECONOMIC ORGANIZATION
CULTURAL ASPECTS
LEGAL ASPECTS
RADISHCHEV, ALEXANDR NIKOLAEVICH
RADOWITZ, JOSEPH MARIA VON
RAE, JOHN
RAFFI, HAKOP MELIK HAKOPIAN
RAFFLES, SIR THOMAS STAMFORD
RAI, LALA LAJPAT
RAIFFEISEN, FRIEDRICH WILHELM
RAIKES, ROBERT
RAILROAD ACCIDENTS
M . James
Alfred M. Tozzer
Ernst Ton Hippel
Edwin F. Gay
Phyllis Doyle
Isabel Grubb
See MONEY
O. E Kiessling
T. Wmgate Todd
Fidehno de Ftgueiredo
G. IVeuler^e
Maunce Halbzvaclis
Crane Brinton
Robert Francis Seybolt
A F Chappell
Franz Boas
Hans Kohn
Melville J. Herskovits
See RACE CONFLICT
Curt Ruhland
Hermann Oncken
Murray I. Gurfein
Josef Mail
JoxfMatl
Horace M. Kallcn
Howard T, Lewis
William A Orion
Harry Shulman
Paul Mihukov
Sigmund Neumann
E. A. J. Johnson
V , Totomians
Howard Robinson
See LAJPAT RAI, LALA
Ernst Grunfcld
Edward H. Reuner
Robert M. Woodbury
XVI
Encyclopaedia of the Social Sciences
RAILROAD RATES
RAILROADS GENERAL
LABOR
RAMABAI, PANDITA
RAMBAUD, ALFRED
RAMSAY, SIR GEORGE
RANADE, MAHADEV GOVIND
RANKE, LEOPOLD VON
RANTOUL, ROBERT, JR.
RASl'N, ALOIS
RATE REGULATION
RATHENAU, WALTHER
RATIONALISM
RATIONALIZATION
RATIONING
RATKE, WOLFGANG
RATZEL, FRIEDRICH
RATZENHOFER, GUSTAV
RATZINGER, GEORG
RAU, KARL HEINRICH
RAVENSTONE, PIERCY
RAW MATERIALS
RAWLINSON, SIR HENRY CRESWICKE
RAYMOND, DANIEL
RAYMOND, HENRY JARVIS
RAYMOND DE PENNAFORT
RAYNAL, GUILLAUME THOMAS FRANCOIS
RAYON
REAL ESTATE
REAL ESTATE TAXATION
REALISM
REASON OF STATE
REBELLION
RECALL
RECEIVERSHIP
RECEPTION
RECIDIVISM
RECIPROCITY
RECLAMATION
RECLUS, JACQUES ELISEE
RECOGNITION, INTERNATIONAL
RECONSTRUCTION
RECORDS, HISTORICAL
RECREATION
RECRUITING
RED CROSS
REEVES, WILLIAM PEMBER
REFERENDUM
REFORMATION LUTHERAN
NON-LUTHERAN
See RAILROADS
/. L. Sharfman and Shorey
Peterson
Jacob Perlman
C. F. Andrews
Charles Diehl
Karl W. Bigelow
Hans Kohn
Ernst Simon
Merle E. Curti
Charles Englis
Felix Frankfurter and Henry
M. Hart, Jr.
Emil Lederer
B, Groethuysen
Moritz Julius Bonn
See WAR ECONOMICS
Robert Reigbert
Carl Saner
Gottfried Salomon
G. Briefs
Karl Pnbram
Percy Ford
William F. Note
W. F. Albright
A. D.H.Kaplan
Allan Nevins
A. Van Hove
Anatole Feugere
See TEXTILE INDUSTRY; SILK IN-
DUSTRY
Morton Bodfish
See PROPERTY TAX; GENERAL
PROPERTY TAX
C. E. M. Joad
Carl Joachim Fnedrich
K. Smellie
Frederick L. Bird
A. A. Berle, Jr.
William Seagle
Nathaniel Cantor
See COMMERCIAL TREATIES
Frank Adams
Max Nettlau
Taylor Cole
Howard K. Beale
Austin P. Evans
Lee F. Hanmer
See MILITIA; CONSCRIPTION
Elisabeth Todd and Gladys
Meyerand
J. B. Condliffe
See INITIATIVE AND REFERENDUM
W. Kdhler
H. Richard Niebuhr
Contents
xvii
REFORMATORIES
REFORMISM
REFRIGERATION
REFUGEES
REFUGEES, POLITICAL
REGIONAL PLANNING
REGIONALISM
REGISTRATION
REGISTRATION OF TITLES
REGISTRATION OF VOTERS
REHABILITATION
REICHENSPERGER, AUGUST and PETER FRANZ
REICHSRAT
REICHSTAG
REID, WHITELAW
REIMARUS, HERMANN SAMUEL
REINACH, SALOMON
REINACH, THEODORE
RELIGION
RELIGIOUS EDUCATION
RELIGIOUS FREEDOM
RELIGIOUS INSTITUTIONS, CHRISTIAN
ROMAN CATHOLIC
EASTERN ORTHODOX. BYZANTINE
RUSSIAN
PROTESTANT
RELIGIOUS ORDERS
REMEDIES, LEGAL
RENAISSANCE
RENAN, ERNEST
RENAUDOT, THEOPHRASTE
RENAULT, LOUIS
RENOUVIER, CHARLES BERNARD
RENT
RENT CHARGE
RENT REGULATION
RENTENMARK
RENTIER
REORGANIZATION, ADMINISTRATIVE
REORGANIZATION, CORPORATE
REPARATIONS
REPGOW, EIKE VON
REPRESENTATION
REPRESENTATIVE GOVERNMENT
REPRESENTATIVES, HOUSE OF
REPRISALS
REPUBLICAN PARTY, UNITED STATES
REPUBLICANISM
REPUDIATION OF PUBLIC DEBTS
See PENAL INSTITUTIONS
Horace M. Kallen
W. P Hedden
Car hie A. Macartney
See REFUGEES; POLITICAL
OF-
FENDERS
John Nolen
Hedwtg Hintze
See STATISTICS
See LAND TRANSFER
Joseph P. Harris
Oscar M. Sullivan
G. Briefs
See LEGISLATIVE ASSEMBLIES
See LEGISLATIVE ASSEMBLIES
Julius W Pratt
Michael Freund
A Eustace Haydon
Gustave Glotz
Alfred Bertholet
See EDUCATION, section on SFC-
TARIAN EDUCATION
Guido de Ruggiero
Augustin Fliche
V . Leontcntch
Paul Mihukov
H. Richard Niebuhr
Alfred Bertholet
See PROCLDLRL, LEGAL
B. Groethuysen
Lewis F. Mott
Raphael Levy
Jean Devaux
D. Parodi
Frank A Fetter
Frank A Fetter
A. A. Fnedrich
Harold L. Reed
Ida Craven Merriam
See ORGANIZATION. ADMINISTRA-
TIVE
See CORPORATION FINANCE; RE-
CEIVERSHIP
James W. Angell
Eberhard von Kunssberg
Francis W. Coker and Carlion
C. Rodee
See REPRESENTATION
See LEGISLATIVE ASSEMBLIES
Philip C. Jessup and Francis
Dedk
See PARTI FS, POLITICAL, section
on UNITED STATES
Peter Richard Rohden
Paul Studenski
xvm
Encyclopaedia of the Social Sciences
REQUISITIONS, MILITARY
RESALE PRICE MAINTENANCE
RESEARCH
RESERVES, BANKING
RESORTS
RESTAURANTS
RESTRAINT OF TRADE
RETAIL CREDIT
RETAIL TRADE
RETALIATION
RETORSION
RETROACTIVE LEGISLATION
RETZIUS, ANDERS ADOLF
REUTER, BARON VON
REVENUE FARMING
REVENUES, PUBLIC
REVILLAGIGEDO, CONDE DE
REVIVALS, RELIGIOUS
REVOLUTION AND COUNTER-REVOLUTION
RHETT, ROBERT BARNWELL
RHIGAS, KONSTANTINOS
RHODES, CECIL JOHN
RHODES, JAMES FORD
RICARDO, DAVID
RICCA-SALERNO, GIUSEPPE
RICCI, MATTEO
RICHARD, HENRY
RICHELIEU, ARMAND-JEAN DU PLESSIS DE
RICHMOND, MARY ELLEN
RICHTER, EUGEN
RICHTER, JOHANN PAUL FRIEDRICH
RIDGEWAY, SIR WILLIAM
RIDOLFI, MARCHESE COSIMO
RIEGER, FRANTISEK LADISLAV
RIEHL, WILHELM HEINRICH
RIESSER, GABRIEL
RIOT GENERAL AND HISTORICAL ASPECTS
LEGAL ASPECTS
RIPARIAN RIGHTS
RISK
RITCHIE, DAVID GEORGE
RITTER, KARL
RITTER, MORIZ
RITUAL
RITUAL MURDER ACCUSATION
RIVADAVIA, BERNARDINO
RIVERS, WILLIAM HALSE RIVERS
RIVIER, ALPHONSE-PIERRE-OCTAVE
ROADS ANCIENT, MEDIAEVAL AND EARLY MODERN
MODERN
ROBERTSON, JOHN MACKINNON
ROBERTSON, WILLIAM
ROBERTY, EUGENE DE
E. G. Trimble
Melvin T. Copeland
Donald Slesinger and Mary
Stephenson
See BANK RESERVES
Adolf Grunthal
Alice C. Hanson
Milton Handler
W. C. Plummer
Paul H. Nystrom
See REPRISALS; TARIFF
See REPRISALS
Harry Shulman
Melville J. Herskovits
H. Donaldson Jordan
W.Lotz
Harley L. Lutz
Lillian Estelle Fisher
Herbert W. Schneider
Alfred Meusel
N. W. Stephenson
Panajotis Kanellopoulos
Leland H. Jenks
L. B. Shtppee
Jacob II Hollander
Augusta Graziam
K. S. Latourette
Merle E. Curti
Paul Harsin
Philip Klein
Theodor Heuss
Eduard Berend
A. M. Hocart
Jacopo Mazzei
Emanuel Chalupny
Walter Goetz
Hans Kohn
K. Smellie
William S eagle
See WATER LAW
Frank H. Knight
Crane Brinton
Carl Sauer
Walter Goetz
Ruth Benedict
See BLOOD ACCUSATION
L. L, Bernard
Alexander Goldenweiser
Jean Devaux
Norman Leon Gold and Mel
vin M. Knight
Henry R. Trumbower
C.E.M.Joad
J. B. Black
C.Bougte
Contents
ROBESPIERRE, MAXIMILIAN
RODBERTUS, JOHANN KARL
RODO, JOSE ENRIQUE
RODRIGUEZ FRANCIA, JOSE CASPAR
ROGERS, JAMES EDWIN THOROLD
ROHDE, ERWIN
ROLAND DE LA PLATIERE, MARIE JEANNE
ROMAGNOSI, GIOVANNI DOMENICO
ROMAN LAW
ROMANTICISM
ROMILLY, SIR SAMUEL
RONCALI, ANGELO
ROOSEVELT, THEODORE
ROSAS, JUAN MANUEL DE
ROSCHER, WILHELM GEORG FRIEDRICH
ROSENWALD, JULIUS
ROSMINI-SERBATI, ANTONIO
ROSSI, GIOVANNI BATTISTA DE
ROSSI, PELLEGRINO LUIGI EDOARDO
ROSSLER, CONSTANTIN
ROTHSCHILD FAMILY
ROTTECK, KARL WENZESLAUS RODECKER VON
ROTTEN BOROUGHS
ROUGE, VICOMTE OLIVIER CHARLES EMMANUEL
DE
ROUND, JOHN HORACE
ROUSSEAU, JEAN-JACQUES
ROY, RAM MOHUN
ROYAL COURT
ROYCE, JOSIAH
ROYER-COLLARD, PIERRE PAUL
RUBBER
RUBIN, MARCUS
RUFFIN, EDMUND
RUFFINI, FRANCESCO
RUGE, ARNOLD
RULE OF LAW
RUMELIN, GUSTAV
RURAL EXODUS
RURAL INDUSTRIES
RURAL SOCIETY
RURAL SOCIOLOGY
RUSH, BENJAMIN ^
RUSKIN,JOHN
RUSSELL, JOHN
RUSSIAN REVOLUTION ^^
RUTHENBERG, CHARLES EMIL
RUTHERFORD, SAMUEL
RYAN, THOMAS FORTUNE
XIX
G. Lefebvre
Arthur Salz
Alfredo Colmo
See FRANCIA, JOSE CASPAR RODRI-
GUEZ
J. F. Rees
Martin P. Nilsson
Carl Becker
Alessandro Levi
A. Arthur Schiller
G. Ant. Borgese
Pendleton Howard
Benvenuto Griziotti
Henry F Pnngle
Mary Wilhelmine Williams
Curl Bnnkmann
Irving Dilliard
Guido de Ruggiero
Pierre de Labnolle
L Ledermann
Arthur Salz
Jakob Stneder
Carl Bnnkmann
Emily 4llyn
W. F. Albright
F. M. Stenton
Albert Schinz
Hans Kohn
Peter Richard Rohden
William Ernest Hocking
Charles H. Poutluis
Charles R Whittlesey
Harold Wcstergaard
Avery Craven
Gaudence JMegaro
Sidney Hook
Roscoe Pound
Rudolf Meenuarih
See URBANIZATION
Carl Bnnkmann
Carle C Zimmerman
See RURAL SOCIEIY
Burton Alva Konkle
G. D. H. Cole
W. F. Reddaway
Hans K.ohn
Joseph Freeman
Ethyn Williams Kirby
George Marshall
SABATIER, PAUL
SABOTAGE
SACRAMENT
Louis Halphen
Paul F. Brissenden
See RELIGIOUS INSTITUTIONS,
CHRISTIAN; MYSTERIES
XX
Encyclopaedia of the Social Sciences
SACRED BOOKS
SACRIFICE
&AFA&IK, PAVEL JOSEF
SAFETY MOVEMENT
SAGRA Y PERIZ, RAMON DIONISIO DE LA
SAINTE-BEUVE, CHARLES AUGUSTIN
SAINTHOOD
SAINT-PIERRE, ABBE CHARLES IRENEE CASTEL
DE
SAINT-SIMON, DUC DE
SAINT-SIMON AND SAINT-SIMONIANISM
SALARIES
SALEILLES, RAYMOND
SALES
SALES TAX
SALESMANSHIP
SALISBURY, THIRD MARQUIS OF
SALMON, THOMAS WILLIAM
SALT
SALT, SIR TITUS
SALVIOLI, GIUSEPPE
SAMARIN, YURY FEDOROVICH
SAMPLING
SAN MARTIN, JOSE DE
SANATORIA
SANCTION, INTERNATIONAL
SANCTION, SOCIAL
SANCTUARY
SAND, GEORGE
SANITARY TREATIES
SANITATION
SANTA CRUZ, ANDRES
SARASWATI, SWAMI DAYANANDA
SARMIENTO, DOMINGO FAUSTINO
SARPI, PAOLO
SARS, JOHAN ERNST WELHAVEN
SARTORIUS VON WALTHERSHAUSEN, FREIHERR
GEORG
SAVIGNY, FRIEDRICH CARL VON
SAVILE, GEORGE
SAVIN, ALEXANDR NIKOLAEVICH
SAVING
SAVINGS BANKS
SAVONAROLA, GIROLAMO
SAX, EMIL
SAY, JEAN-BAPTISTE
SAY, LEON
SAYYID AHMAD KHAN, SIR
SAZONOV, SERGEY DMITRIEVICH
SCANDINAVIAN UNITY MOVEMENT
SCARUFFI, GASPARO
SCHAFER, DIETRICH
SCHAFF, PHILIP
SCHAFFLE, ALBERT EBERHARD FRIEDRICH
SCHANZ, GEORG VON
Horace L. Friess
A. M. Hocart
Emanuel Rddl
H. S. Person
C. Bernaldo de Quirds
Fernand Baldensperger
See RELIGION
Rene Hubert
Paul Harsin
Harold A. Larrabee
See WAGES
Achilla Mestre
Nathan Isaacs
Alfred G Buehler
Lee Galloway
Frederick Diets
Paul O. Komora
Edwin C. Eckel
G. D. H. Cole
Corrado Barbagallo
Alexandre Koyrd
See STATISTICS, PROBABILITY
Mary Wilhelmine Williams
See HOSPITALS AND SANATORIA
Edwin M Borchard
A. R. Radchffe-Broum
Martin Siebold
Fernand Baldensperger
See SANITATION
Thomas II. Reed
N. Andrew N. Cleven
Hans Kohn
L L. Bernard
Guido de Ruggiero
Halvdan Koht
Karl Pribram
Hermann Kantorowicz
See HALIFAX, FIRST MARQUIS OF
E. A. Kosminsky
Friedrich A. Hayek
W. H. Steiner
Ferdinand Schevill
Erik Lindahl
Ernest Teilhac
Ernest Teilhac
Hans Kohn
Sidney B. Fay
See PAN-MOVEMENTS
Ulisse Gobbi
Wilhelm Mommsen
H. Richard Niebuhr
Fritz Karl Mann
Hans Teschemacher
Contents
SCHAR, JOHANN FRIEDRICH
SCHARLING, HANS WILLIAM
SCHECHTER, SOLOMON
SCHEEL, HANS VON
SCHELER, MAX
SCHELLING, FRIEDRICH WILHELM JOSEPH
SCHIFF, JACOB HENRY
SCHILLER, JOHANN CHRISTOPH FRIEDRICH
SCHIPPEL, MAX
SCHIRMACHER, KATHE
SCHLEGEL, KARL WILHELM FRIEDRICH VON
and AUGUST WILHELM VON
SCHLEIERMACHER, FRIEDRICH ERNST DANIEL
SCHLESINGER, BENJAMIN
SCHLETTWEIN, JOHANN AUGUST
SCHLOSS, DAVID FREDERICK
SCHLOSSER, FRIEDRICH CHRISTOPH
SCHLOZER, AUGUST LUDWIG VON
SCHMIDT, AUGUSTE
SCHMIDT, JOHANN KASPAR
SCHMOLLER, GUSTAV VON
SCHNEIDER, JOSEPH-EUGENE
SCHOLASTICISM
SCHONBERG, GUSTAV FRIEDRICH VON
SCHOOLS, PUBLIC
SCHOPENHAUER, ARTHUR
SCHOULER, JAMES
SCHRADER, EBERHARD
SCHREINER, OLIVE EMILIE ALBERTINA
SCHRODER, RICHARD
SCHROEDER, FREIHERR WILHELM VON
SCHUBART, JOHANN CHRISTIAN
SCHULZE-DELITZSCH, HERMANN
SCHULZE-GAVERNITZ, FRIEDRICH GOTTLOB
SCHURTZ, HEINRICH
SCHURZ, CARL
SCHWARZENBERG, FREIHERR JOHANN VON
SCHWARZENBERG, PRINCE FELIX VON
SCHWEIGAARD, ANTON MARTIN
SCHWEITZER-ALLESINA, JOHANN BAPTIST VON
SCIALOJA, ANTONIO
SCIENCE
SCIENTIFIC MANAGEMENT
SCLOPIS DI SALERANO, CONTE FEDERICO
SCOTT, CHARLES PRESTWICH
SCOTT, SIR WALTER
SCOTUS, JOHN DUNS
SCRIPPS, EDWARD WYLLIS
SCROPE, GEORGE JULIUS POULETT
SEA POWER
SEAGER, HENRY ROGERS
SEAMEN
SEARCHES AND SEIZURES
SEASONAL FLUCTUATIONS
SECESSION
XXI
C. Mutschler
Carl Iversen
Julius H. Greenstone
Rudolf Meerwarth
Horace L. Friess
James Gutmann
Louis M. Hacker
Harry Slochower
Heinrich Cunow
Hugh Wiley Puckett
Koppel S Pinson
Rudolf Odebrecht
Elsie Cluck
Isouise Sommer
J H. Richardson
Hedwig Hintze
Kurt Zielenziger
Hugh Wiley Puckett
See STIKNER, MAX
Hans Gehrig
Georges Weill
Maurice de Wulf
Edgar Salin
See EDUCATION
Harry Slochower
Arthur C. Cole
Bruno Meissner
William Plomer
Hans Fchr
Kurt Zielenziger
August Skalweit
Ernst Grunfeld
August Skalweit
Robert II. Lowie
Louis M Hacker
Robert von Hippel
Alfred Francis Pribram
Wilhelm Keilhau
Gustav Mayer
Luigi Einaudi
Benjamin Ginzburg
H. S Person
Guido de Ruggiero
A. G. Gardiner
Crane Brinton
See DUNS SCOTUS, JOHN
Silas Bent
Karl W. Bigelow
See NAVY
Charles A. Gulick, Jr.
Elmo P. Hohman
Howard Lee McBain
See TIME SERIES; STATISTICS
See STATES' RIGHTS
XX11
Encyclopaedia of the Social Sciences
SECKEL, EMIL
SECKENDORFF, VEIT LUDWIG VON
SECOND CHAMBERS
SECRET SERVICE
SECRET SOCIETIES
SECRET TREATIES
SECRETAN, CHARLES
SECTARIANISM
SECTIONALISM
SECTS
SECULAR TREND
SECULARISM
SEDDON, RICHARD JOHN
SEDGWICK, WILLIAM THOMPSON
SEDITION
SEDUCTION
SEEBOHM, FREDERIC
SEECK, OTTO
SEELEY, SIR JOHN ROBERT
SEGREGATION
SEGUIN, EDWARD
SEIGNIORAGE
SELBORNE, FIRST EARL OF
SELDEN, JOHN
SELER, EDUARD GEORG
SELF-DETERMINATION, NATIONAL
SELF-INCRIMINATION
SELF-PRESERVATION
SELF-SUFFICIENCY, ECONOMIC
SEMBAT, MARCEL ETIENNE
SEMENOV, PETR PETROVICH
SEMEVSKY, VASILY IVANOVICH
SEMPLE, ELLEN CHURCHILL
SENATE
SENECA, LUCIUS ANNAEUS
SENEUIL, JEAN GUSTAVE COURCELLE
SENIOR, NASSAU WILLIAM
SEPARATION OF POWERS
SERFDOM
SERGEYEVICH, VASILY IVANOVICH
SERRA, ANTONIO
SERVICE
Franz Sommer
Kurt Zielenziger
See BICAMERAL SYSTEM
See POLICE; POLITICAL POLICE
Nathan Miller
See TREATIES
Georges Gurvitch
See SECTS
See REGIONALISM
H. Richard Niebuhr
See TIME SERIES
B. Groethuysen
J. B. Condliffe
C.-E. A. Winslow
Zechanah Chafee, Jr.
Max Radin
K. Smellie
Wilhelm Weber
Edward P. Cheyney
Louis Wirth
Stanley P. Dames
See COINAGE
Theodore F. T. Plucknett
David Ogg
Walter Lehmann
Sarah Wambaugh
A. H. Feller
Horace M. Kalkn
Montz Julius Bonn
Akxandre Zfaaes
P. L Georgievsky
V. Miakotin
Carl Sauer
See LEGISLATIVE ASSEMBLIES
M. L. W. Laisiner
See COURCELLE-SENEUIL, JEAN
GUSTAVE
Marian Rowley
Carl Joachim Friednch
Mehm M. Knight
D. Odinetz
Augusto Graziam
Talcott Parsons
Encyclopaedia
of the
SOCIAL
SCIENCES
Encyclopaedia of the
Social Sciences
PURITANISM, a term with a wide variety of
connotations, is applied most often to those
group movements of the sixteenth and seven-
teenth centuries in England and the United
States which attempted to arrive at a purified
version of Reformation teaching. The core of
Lutheran doctrine had been insistence on imme-
diate contact between the individual soul and
God. Puritanism endeavored to remove all hin-
drances to this contact. It distrusted hierarchical
ecclesiastical organization and elaborate cere-
monies and vestments, and was disposed to seek
guidance solely in the teaching of the Bible and
to deny the value of ecclesiastical tradition.
The term Puritan first appeared in England
about 1566. In 1567 a secret conventicle met at
Plumbers' Hall in London to use the Genevan
order of service instead of the Book of Common
Prayer. A foreign observer wrote from London
in 1568 that there had been discovered "a newly
invented sect, called by those who belong to it
'the pure or stainless religion.' " The Puritans
began by criticizing ecclesiastical vestments and
ritual and by expressing a preference for Cal-
vinistic dogma. They then passed to a criticism
of the existing system of church government.
During the session of 1576 the House of Com-
mons, which was becoming Puritan in sym-
pathy, considered an abortive scheme for trans-
ferring ecclesiastical authority from the crown
and bishops to more democratic bodies. After
1580 Presbyterian organization increased, and
the units known as "classes" were established
in various parts of the country. There occurred
also a growth in the numbers and pretensions
of the Independent sects. In 1575 the Spanish
ambassador referred to the presence of Anabap-
tists and "many other sects" in London, and in
1581 Browne and Harrison set up an independ-
ent, self-governing congregation at Norwich.
Opposition to the bishops became more violent
and in 1588 the scurrilous Martin Marprelate
tracts were published. By the end of the six-
teenth century the main lines of the historical
development of English Puritanism were laid
down. In comparison with its continental and
Scottish prototypes it implied rather a way of life
and habit of mind than a fixed and definite doc-
trine and system of church government. Presby-
terianism and Independency, the latter itself a
comprehensive term, counted among their ad-
herents only a part of the total number of
English Puritans.
By the end of Elizabeth's reign it had already
become apparent that Puritanism had special
affinities with certain sections of the community.
It struck its deepest roots among the rising
middle classes, who were conscious of their
growing importance in the state and eager to
remove whatever barriers stood in the way of a
full development of their powers. The reason
for this affinity is not easy to discover or define.
It was due possibly to the attraction felt between
broadly similar ideals and interests. Puritanism,
with its insistence on the importance of the
individual and on the expression of faith through
a righteous and industrious way of life, found
a natural home among those classes which were
engaged in carving out an improved position for
themselves. Again, the affinity may have been
due to the fact that Puritanism was to them an
enchanted mirror, in which they saw an enhance-
ment of their own particular virtues. Whatever
the cause of the connection, its consequences
were far reaching.
The importance of this connection became
apparent first in the political sphere. During
Elizabeth's reign it was noticeable that the most
stalwart champions of parliamentary rights were
the Puritan members of the House of Commons.
This was partly because the Puritans hoped to
introduce a reformed religious polity by means
of parliamentary legislation. In 1576 Peter
Wentworth, one of the Puritan members, was
committed to the Tower by order of the House
itself for making a too outspoken plea for free-
dom of speech in Parliament and for criticizing
the power of the bishops. In 1587 he again spoke
on similar lines in support of the proposals for
alteration of the prayer book brought forward
by another Puritan member, Cope. As a result
of an interview with the Privy Council, Went-
worth, Cope and three other members were
ordered to the Tower. The House of Commons
Encyclopaedia of the Social Sciences
as a whole began to show itself increasingly
Puritan in sympathy. In 1584 it drew up a peti-
tion for ecclesiastical reform which revealed
Presbyterian tendencies and which questioned
the legality of the proceedings earned on by the
Court of High Commission against Puritan
offenders By the beginning of James I's reign
the connection between Puritanism and parlia-
mentarianism was widely discernible The king
greatly increased both his religious and his po-
litical difficulties by adopting an intransigent
attitude toward the Millenary Petition and the
Hampton Court Conference. Parliament sup-
ported the petitioning ministers in 1604 and
in 1610 reiterated its request for a purification
of religion and the abolition of the Court of
High Commission. When James turned a deaf
ear, Parliament retaliated by refusing or stint-
ing supplies. The bishops, already criticized in
their ecclesiastical capacity, now became doubly
hateful as champions of the royal prerogative
in opposition to parliamentary claims During
the eleven years of personal government discon-
tent with the government's ecclesiastical policy
spread Using the weapons of the Court of High
Commission and the Metropolitical Visitation,
Laud endeavored to enforce complete religious
conformity. In doing so he frequently vio-
lated individual liberties and roused indignation
among men outside the Puritan ranks. The
fusion of political and religious grievances did
much to precipitate the civil war.
In the social and economic sphere the affinity
between Puritanism and the middle classes was
particularly well marked and significant. While
Puritanism was widely diffused and was not
peculiar to any one class or locality, it is evident
that its most numerous and enthusiastic ad-
herents were among the middle trading classes.
Roland Usher in The Reconstruction of the Eng-
lish Church (2 vols., New York 1910) has con-
ducted a statistical inquiry into the distribution
of Puritan ministers in England in the first
decade of the seventeenth century. Of the 281
ministers whose names are known 35 belonged
to London and Middlesex, where a very large
proportion of the middle trading classes were
congregated; 96 to the important manufacturing
counties of Norfolk, Suffolk and Essex; 29 to
Northamptonshire, a county of prosperous farm-
ers; 17 to Lancashire, which was becoming
increasingly important as a center of the clothing
industry; and only 104 to the rest of the country.
Usher also estimates that the strength of the
Puritan laity lay chiefly in the economically ad-
vanced area of the southeast and midlands,
showing its greatest strength in the weaving
towns. This statistical evidence is confirmed and
supplemented by contemporary opinions . ' ' Free-
holders and Tradesmen," said Richard Baxter,
"are the Strength of Religion and Civility in the
Land; and Gentlemen and Beggars and Servile
Tenants are the Strength of Iniquity." The
course of the civil wars in England made it
unmistakably clear that Puritanism was strong-
est among the middle classes, especially in the
towns. London supported the parliamentary
cause vigorously and became known as "the
rebellious city." The clothing towns of Lan-
cashire were Puritan and parliamentarian, de-
spite the existence of a surrounding Roman
Catholic countryside. In Yorkshire, Bradford,
Leeds and Halifax; in the midlands, Birming-
ham and Leicester; in the west, Gloucester,
Taunton and Exeter, were all Puritan strong-
holds. Puritanism was therefore strongest among
those classes which for economic reasons ob-
jected to the restrictions imposed by monarchi-
cal and Anglican rule. Thus spiritual conviction
and economic interest reacted upon and reen-
forced each other
Puritanism was a factor common to the most
vigorous opponents of prerogative power in
politics, religion and trade. Its binding influence
helped to unite the different parties and inter-
ests against a common foe and to give them a
zeal which they might otherwise have lacked.
Broadly speaking, the ideal of the Stuart gov-
ernment rested on a conception of divinely ap-
pointed kingly power, exercised arbitrarily for
the good of the state m all departments of life.
To this, Puritanism opposed the ideal of vig-
orous, untrammeled individualism, expressing
itself freely in the House of Commons, throwing
off restrictions in trade and commerce, and dis-
pensing with traditional forms of authority in
religion, although the conception of full religious
freedom was not to develop until later. The
whole theory and practise of monopolistic power
was criticized, but the sphere in which it was
attacked most vigorously was that of industry
and trade. The custom of granting monopolies
in the manufacture or sale of commodities was
an important part of Stuart economic policy.
While the grants were made with varying inten-
tions, some of which were good, the economic
consequences were nearly always disastrous.
When the Long Parliament met these monopo-
lies were attacked, some of them were called in
and the system never regained its old vigor. In
Puritanism
politics, the concentration of power in the hands
of the ruler and a small circle of advisers had to
give way before the claims of a partially repre-
sentative Parliament, and some of the paper
constitutions of the Interregnum attempted to
diffuse the powers of government even more
widely. In religion, the powers of the bishops
were attacked by Puritans of all shades of
opinion. John Lilburne in England's Birth-Right
Justified (London 1645) ant ^ London's Liberty
in Chains Discovered; a Postscript Written in the
Tower of London (London 1646) traced a direct
connection between the three mam types of
monopoly that of the trading concerns, the
Anglican church and the Stuart government
and declared that each bolstered up the others.
In 1649 Puritanism triumphed Until then it
had been concerned mainly with the work of
destruction and had been able to unite various
elements within itself Now it became apparent
that it was not homogeneous At one end of the
scale was Presbyterianism, which represented
stringent control on a democratic basis. At the
other was Independency, which stood for indi-
vidualism in all its various forms In between
were men of a Puritan trend of opinion who
refused to group themselves definitely under
either party, but who would be influenced by
whichever group gained the strongest position
Because of uncongenial features in English social
stratification and political development Presby-
terianism failed to establish itself, despite the
efforts of the Scots. Independency, on the other
hand, attained a wide and enduring influence.
Although the monarchy and the Anglican church
were restored in 1660, Independent Puritanism
persisted as a religion and still more as a way of
life and type of outlook. In the political sphere
its main influence was ended It had helped to
bring about a rebellion whose chief objectives
were successfully obtained and retained Future
lines of political development owed little to the
direct influence of Puritanism. In the religious
sphere it combined with other factors to secure
greater toleration. In the economic and social
sphere its influence was exceedingly important.
A particular type of character and way of life
received a powerful stimulus. Puritanism now
gave an unqualified blessing to the middle class
individualistic and economic virtues. The attrac-
tion already felt between Puritanism and the
middle trading classes increased after the victory
of Independency, despite a temporary demo-
cratic outburst during the Interregnum on the
part of some of the more extreme sects. An
austere way of life and devotion to a "calling"
which should be crowned with moderate worldly
success became at once the ideal and the hall-
mark of Puritans and of many others who
adopted their view of life. The reverse of this
ideal was an attitude of stern reprobation toward
those who failed to achieve such success. Pov-
erty and failure, like frivolity and idleness,
appeared the outward manifestations of an un-
regenerate soul. It is not surprising that in the
eighteenth century many of the pioneers of the
industrial revolution were nonconformists.
The influence of English Puritanism was not
confined to England. In the early seventeenth
century the colonization of America was carried
out mainly by Puritan settlers. The motives for
colonisation were mixed, the economic motive
playing an important part. Following upon the
economic changes of the sixteenth century a
certain displacement of population had taken
place, particularly in the more advanced eco-
nomic areas, where Puritanism was strongest.
As in England, it was the role of Puritanism to
act as a binding force and motive power among
the settlers. In New England, it was possible
for the Puritans to develop their ideals unhin-
dered in a peculiarly favorable environment
which put a premium on the Puritan virtues.
The soil was hard to cultivate but moderately
fertile, \he climate fairly severe. To the west
lay a great continent with vast resources to be
discovered and exploited. In such an environ-
ment the skilled and strenuous workman who
represented the Puritan ideal would flourish,
while the idle or incompetent would go to the
wall. In later years unfettered individualism
carried all before it, but in the early period of
the New England settlements the side of Puri-
tanism which favored stringent control was
dominant. This was aue partly to the exigencies
of the situation, partly to the religious zeal of
the leaders. For a small band of settlers in un-
known territory surrounded by enemies it was
expedient to pool resources and set limits to in-
dividual enterprise. Membership in the state was
synonymous with membership in the church,
and in his double capacity as citizen and church
member every individual was criticized and con-
trolled. Industry was enforced upon all settlers,
but it had to be earned on for the good of the
whole. Acts regulating wages were to be found
in almost all the Puritan colonies. In Boston
markets and sometimes gristmills were publicly
regulated. The Massachusetts government at-
tempted to impose a just price for all essential
Encyclopaedia of the Social Sciences
commodities. But from the first such regulations
were difficult to enforce; and theocracy in Mas-
sachusetts was weakened by the terms of the
new charter of 1692, which substituted a prop-
erty qualification for church membership as a
basis for the franchise.
As in England the aspect of Puritanism which
encouraged individual freedom triumphed. In
the religious sphere this triumph was marked
by the spread of Congregationalism. In the social
and economic sphere it was marked by the de-
velopment of economic individualism, backed
consciously or unconsciously by religious sanc-
tions and fostered by a growth in economic
prosperity and general security which decreased
the necessity for collective control. The repre-
sentative attitude is illustrated in the works of
Benjamin Franklin, the son of a zealous Puritan
and himself influenced by the general Puritan
outlook. Franklin lays down a series of maxims
stressing the importance of profitable industry,
and when asked why money should be so impor-
tant replies with a Biblical quotation: "Seest
thou a man diligent in his business? He shall
stand before Kings" (Advice to a Young Trades-
man, Philadelphia 1748; also Autobiography, ed.
by F. W. Pine, New York 1912). This religious
sanction of profitable industry, with the feeling
of assurance and stimulus which it gave, exer-
cised an important influence on entirely* secular
men and activities and may be reckoned as one
of the formative influences in the development
of the modern American conception of business.
M.JAMES
See. REFORMATION, PROTESTANTISM; SECTS; RELIGION;
RELIGIOUS INSTITUTIONS, CHRISTIAN, QUAKERS, RELI-
GIOUS FREEDOM, INDIVIDUALISM; CAPITALISM; ASCET-
ICISM, BLUE LAWS, CENSORSHIP, LEISURE.
Consult: Tawney, R. H , Religion and the Rise of
Capitalism, Holland Memorial Lectures, 1922 (Lon-
don 1926) ch. iv; Weber, Max, "Die protestantische
Ethik und der Geist des Kapitahsmus" in his Ge-
sammelte Aufsatze zur Rehgionssosnologie, 3 vols. (and
ed. Tubingen 192223), vol. i, tr. by Talcott Parsons
(London 1930) p. 95-128, James, Margaret, Social
Problems and Policy during the Puntan Revolution,
1640-1660 (London 1930); Niebuhr, H. R., The Social
Sources of Denomtnationalism (New York 1929), es-
pecially ch. iv; Select Statutes and Other Constitu-
tional Documents Illustrative of the Reigns of Eliza-
beth and James l, ed. by G. W. Prothero (4th ed.
Oxford 1913); Gardiner, S. R , The History of the
Great Civil War, 2642-1640, 4 vols. (new ed. London
1893) vol. i, p. 9-1 1, vol. 111, p. 203, and History of
the Commonwealth and Protectorate, 1640-1656, 4
vols. (new ed. London 1903) vol. ii, ch xviii; Neal,
Daniel, The History of the Puritans, 5 vols. (new ed.
by J. Toulmm, Bath 1793-97); Doyle, J. A., The Eng-
lish in America, * vola. (London 1887); Adam*, J. T.,
The Founding of New England (Boston 1921); Schnei-
der, H. W., The Puritan Mind (New York 1930).
PUTNAM, FREDERIC WARD (1839-1915),
American anthropologist. With practically no
formal academic background, Putnam came
under the influence of Aga&siz, from whom he
learned his methods of thorough inductive re-
search. His interest shifted from ichthyology to
American archaeology and ethnology and in
1874 he became curator of the Peabody Museum
at Harvard University, where he remained for
forty years. There he revolutionized American
museum methods by inaugurating scientific ex-
peditions; he emphasized that the methods of
these expeditions should be determined not by
the quantity of specimens to be secured but by
their scientific objectives. The excellent museum
collections which he assembled manifest the
variety of his interests in the history of mankind.
Among the most outstanding are those on the
antiquity of man in America: materials from the
mound and village sites in Ohio and Wisconsin;
extensive collections from Mexico and Central
America; and archaeological and ethnologica 1
collections of old New England. Putnam was
appointed professor of American archaeology
and ethnology at Harvard in 1886. In 1891 as
chief of the ethnological section of the World's
Columbian Exposition in Chicago he was in-
strumental in founding the Field Museum of
Natural History and stimulated other institu-
tions to carry on intensive field work among the
American Indians. After the exposition he or-
ganized the anthropological work of the Ameri-
can Museum of Natural History, where between
1894 and 1903 he extended field investigations
beyond the limits of North America and devel-
oped a comprehensive program of active scien-
tific research. He was largely responsible for the
foundation of the department of anthropology
at the University of California, becoming pro-
fessor and director of the anthropological mu-
seum hi 1903.
Putnam's scientific activities were not con-
fined to anthropology. As permanent secretary
for twenty-five years, beginning in 1873, of the
American Association for the Advancement of
Science and as president of this organization in
1898 he played a significant role in shaping the
policies of the association and in promoting the
influence of science in the United States.
ALFRED M. TOZZER
Consult-. For complete bibliography of Putnam's
works, Mead, France* H., in Putnam Anmveriary
Puritanism Putting Out System
Volume , Anthropological Esiayi (New York 1909) p.
601-27 See also Kroeber, A L, , in Ameruan Anthro-
pologist, n s , vol xvn (1915) 712-18, Tozzer, A M ,
in Massachusetts Historical Society, Proceedings, vol.
xhx (1915-16) 482-87, Boas, F , in Saerue, n s , vol.
xlii (1915) 330-32.
PUTTER, JOHANN STEPHAN (1725-1807),
German jurist. Putter is undoubtedly the most
important expounder of the public law of the old
Reich With almost unbelievable energy Moser
had not long before assembled and organized the
mass of legal material, but in this form it re-
mained hardly more than laboriously hewn
cyclopean blocks In the work of Putter, on the
other hand, the law appears disentangled from
its difficulties, in a form which by virtue of its
grace, rationality and elegance rises above the
ponderous structure of the old Reich Certainly
by virtue of his spiritual depth, the firmness of
his Christian faith as well as his saturation with
the ideals of the old liberties Moser is closer to
the mediaeval foundations of the Reich. But
since these had been displaced in the territorial
state, in which princely absolutism, imbued with
utilitarianism, had undermined antiquated in-
stitutions, it is Putter not Moser who seems to
have been the true oracle of the times.
In the field of public law, in which he made
his chief contribution, Putter had separated
constitutional from administrative law and then
had treated the particular branches of ad-
ministration as parts of a highly lucid system. In
his method he became the founder of juristic
dogmatism, which later had its positivistic echo
in Laband, and thus represents the beginning of
modern theory. In the field of the private law of
the princely houses, which interested him par-
ticularly, Putter's strict conception of the
principle of equality of birth had important
influence. His description of the imperial law of
procedure, the hopeless impotence of which he
demonstrated, was definitive. Finally, Putter's
works on imperial history, which he treated by
way of introduction to the public law of his time,
are noteworthy not only because of their com-
plete mastery of the material but also because
of their literary quality.
In the field of civil law Putter rendered a
service in his insistence on a clear separation of
its Germanic and Roman elements, the confu-
sion of which he deplored. In natural law he
appears more as a follower of Wolff than as a
philosophical thinker but again shows that ability
to draw distinctions which lends value to his
juristic encyclopaedia. To his wealth of scientific
accomplishments must be added his practical
work and his lectures at the University of
Gottingen, which contributed to its glory and
brought him a circle of pupils of unusual
importance.
ERNST VON HIPPEL
Chief works Nm>a epitome processus Imperil (Gottingen
*757> 5th ed 1796), Institutions juris publui ger-
mumci (Gottmtfen 1770, 6th ed 1802), Tentsche
Reichsqesihtchte in ihren Hauptfaden entwickelt
(Gottinqen 1778, 3rd ed 1793), Ilistoruche Ent-
wukelurttf der heutigen Staatsverfa^untf dcs Teutschfn
Reuhs, 3 \ols (Gottingen 1786-87, 3rd ed 1798-99),
tr by J Dornford, 3 vols (London 1790), Uber
Missheirathen teuhther Fursten und (Jrafen (Gottingen
1796), Litertitur des teutschen Staatsrechts, 3 vols.
(Gottin^en 1776-83)
Comiilt Putter's Selbstbtograplne, 2 vols (Gottingen
1798), Mohl, Robert \on, Die Geschichte und Liter atur
tier StuutsKissemchaJten, 3 vols (Erlangen 1855-58)
vol n, p 425-38, Stinumg, R von, and Landsberg,
Ernst, (jesihithte dcr deut alien Rethtsicissenschaft, 3
\ols (Munich 1880-1910) vol HI, pt i, p. 331-53.
PUTTING OUT SYSTEM is the term which
is coming to be used by economic historians to
designate that stage of economic organization
commonly known as the domestic system, or m
German and French Haustndustne and Industrie
a domicile As descriptive of a stage of economic
organization, these terms have long been re-
garded as unsatisfactory, since they stress one
feature, work at home, which likewise charac-
terizes all the stages of economic development
except the factory system German writers,
following Karl Bucher's initiative, therefore .
substituted Verlag for Hausindiistne, while Eng-
lish and American writers are adopting the term
"putting out," which formerly was in common
usage m those districts of England where this
type of organization \vas prevalent.
Following Liefmann's acute analysis, his
emphasis upon the character of the labor con-
tract may be accepted as basic to the history of
the confusmgly varied forms of this industrial
institution The self -direct ing worker of the
putting out system agrees to do, or to have done
by those he hires, work which has been en-
trusted to him by one who plans to sell the
product This distinguishes him from the handi-
craftsman, who makes his product for sale or to
the order of a consumer. It also distinguishes his
liberty of economic action, even if he becomes
increasingly dependent upon one employer,
from the lack of economic self-direction of the
worker subordinated to factory discipline. In
theory it is immaterial whether the industrial
Encyclopaedia of the Social Sciences
8
producer to whom work is put out be only a
single workman or one of many or a great mod-
ern concern, such as a bleachery or a dyeing or
cleaning establishment working on material en-
trusted to it by a trader. The size of capital em-
ployed, whether by the putter out or by the
worker, is also immaterial to the definition, al-
though in its historical development the rise and
spread of the system may be attributed largely to
the rotative wealth of the merchant industrialist
who employed, and to the poverty of the ma-
jority of workers who competed for employ-
ment. In fact, however, some of the modern
forms of the system where conditions are most
unfavorable for the workers, such as the sweat-
shops of the clothing trade, are precisely those
which require but a minimum of capital.
That the work should be carried on in the
worker's own or rented home or workshop is
characteristic of the putting out system, as it is
of the handicraft and country household systems
which historically preceded and accompanied its
growth. But it is not a necessary characteristic;
especially in the later period, it was not un-
common for putting out workers to rent a seat
or the use of a machine, not only in shops erected
for the purpose by those outside the industry or
by another worker but even in the employer's
own workshop or factory. Such cases as those
described in the parliamentary reports of 1806
and 1840, in which hand loom weavers working
in the owner's premises were free to "come and
go when they like," or those reported from the
Swiss embroidery industry, where machine
workers in the employer's factory were bound
by no factory discipline or factory legislation, or
the sub-contracting system within the factories
of the English metal industries, were (and per-
haps are) probably more frequent than inade-
quate observation has recorded.
The distinction between workers under the
putting out system and handicraftsmen is of
particular importance for an understanding of
the later periods of the handicraft system, when,
with the widening market and the increasing
surplus of handicraftsmen, they turned in larger
numbers from production primarily for local
consumers to regular production for the outside
market, selling their wares to merchants or their
agents. Such handicraftsmen to whose appear-
ance the term "wholesale handicraft" applied by
N. S. B. Gras to the entire stage here under dis-
cussion should properly be narrowed might
for a period seek out the wholesalers by long
journeys toa distant market. Ordinarily, however,
the wholesalers soon came tc some market town
convenient to the handicraftsmen, who could
then congregate for sale of their staple wares at
stated days and hours. This was longthe custom
at Leeds, the market for the West Riding woolen
makers, the picturesque description of which by
Defoe has so colored subsequent English writing
on the "domestic system." A similafr long main-
tenance of the wholesale handicraft astern, with
handicraftsmen dependent upon their regular
sales to merchants, characterized the gradual
emergence from the guild system in a number of
industries both in England and ort the continent
When, however, as was the case as early as the
thirteenth and fourteenth centuries in the south-
ern Netherlands and northern Italy, the high
development of certain luxury trades made
necessary considerable trading capital and ex-
pert knowledge, the function of the merchant or
market specialist was greatly enhanced. Or when
the refinement or changeability of demand Called
for elaboration of existing patterns or introduc-
tion of new wares, as ultimately occurred in the
Yorkshire woolen industry, or when the substi-
tution of a wage payment to putting out workers
instead of a price to a handicraftsman promised
greater profit, the trader tended to become also
an employer. The pressure for control over the
industrial process marked the inception of the
new system and its whole subsequent develop-
ment.
The transformation took place gradually and
in manifold adaptations of form. There was op-
posing guild legislation, but in the main the new
system seems to have become ensconced, in
suitable industries and places, without at first
seriously upsetting the established order. Al-
though its spirit of initiative, risk taking and
profit seeking was alien to the social ideals of
subsistence, security and equality of economic
opportunity which animated the craft guild, ana
although ultimately, from both within and with-
out, it was to be largely instrumental in under-
mining and destroying the guild system, in its
first beginnings it appeared to contemporaries to
fit into the existing economic and social situa-
tion. It used the traditional technical methods; it
employed handicraftsmen already habituated
both to work to the order of local consumers and
to seek the merchant's skill in outside marketing;
and it relieved the growing pressure upon poor
workers, craftsmen or others pressing into the
towns, who found themselves unable to wait
from one uncertain market day to another. The
new contract frequently assumed the old form;
Putting Out System
indeed it often continued in Germany to be
called a Kauf. The putter out might sell the raw
material, as if it were a sale to a handicraftsman,
but with the condition that the worker must sell
the finished -product exclusively to him, pre-
sumably at a price specified in advance. Fre-
quently the raw material was sold at a price to
be paid by the worker as a deduction from the
predeterrained price of the finished product
when he returned it. This practise, which con-
verted a handicraftsman's price into the equiva-
lent of a putting out wage payment, is found in
one of the earliest cases of putting out to be re-
corded in detail that of Jehan Borne Broke at
Douai, active between 1270 and 1300.
The merchant often penetrated into the shell
of the guild system, and there used a dominant
position to subordinate and integrate the for-
merly independent crafts. Such was the history of
one of the greatest of the Florentine craft guilds,
the arte della lana, in which the woolen masters,
probably, as Davidsohn suggests, rising from
the status of weavers to that of entrepreneurs,
managed by the putting out system all the inter-
locked processes in the industry Such was also
the final outcome of the long struggle whereby
the merchants at Lyons in the seventeenth cen-
cury secured the control of the silk weavers'
guild. In other cases the entrepreneur dealt
with the guild from the outside Craft guilds
made collective bargains with the putter out,
such as the series of contracts in the sixteenth
and seventeenth centuries between the mer-
chant entrepreneurs of Nuremberg and Leipsic
and the linen weaver guilds of towns in eastern
Germany, where the putters out (named as
Verleger in the contracts) agreed with the guild
to take the total annual production of its mem-
bers or a certain stipulated quantity, at a price
fixed for the year, and to make a cash advance to
enable the poor weavers, among whom the order
was divided, to buy their raw materials, the
weavers pledging themselves to work for no
other merchants.
It is proper to speak of these organizers of
industry as merchants, since that was their
essential function, But the impetus to the estab-
lishment of the putting out system and the sub-
sequent recruiting of its leaders came largely
from the more energetic and ambitious crafts-
men. An interesting case is that reported fully by
Gothein from Freiburg i. Br. Here in the midst
of a busy community occupied in the cutting and
polishing of semiprecious stones, in which the
small handicraftsmen were strongly organized
for an export trade under typical guild regula-
tions, there appeared among the craftsmen, early
in the sixteenth century, a gifted innovator
named Hans Scher His invention of hollow
boring brought him more orders than he could
fill. When he began on a considerable scale to
employ his fellow craftsmen as putting out
workers, he was banished; but when he set up a
rival establishment in a neighboring village, his
recall to Freiburg resulted in the acceptance of
the new industrial form and the decay of the
guild
The diffusion of the industrial population
from the towns to the countryside with the de-
cline of the feudal system and the growth of state
protected security brought a wide extension both
of wholesale handicraft and of the putting out
system. Since any quantitative evidence is ab-
sent and much of the descriptive material is
vague, the relative importance of these two
groups in the sixteenth to eighteenth centuries
cannot be determined. They overlapped and
intermingled. There were marked regional
differences; notably in Germany, because of its
slower economic development after the sixteenth
century, the handicraft system and its protective
institutional framework, the guild, remained
strong while they declined elsewhere. Generally
speaking, the handicrafts persisted in the indus-
tries concerned primarily with local consump-
tion and in those marketing certain staple goods.
The appearance of new industries with no guild
tradition, the new requirement of industries, like
mining, for large capital investment; the indus-
trial employment of the country workers and
especially the unprecedented call upon the labor
of women and children; the pressure for large
scale deliveries to governments engaged in fre-
quent wars, a factor noted by Sombart; and
above all the enormous rise in prices, rapidly
mounting for nearly a century after 1550 in cen-
tral and northern Europe and seriously depress-
ing wages and the condition of labor, all these
changes were elements which favored the spread
of the putting out system.
The outstanding characteristic of the system
in its expansion is the tendency toward increas-
ing control over the worker Since he is ordi-
narily working outside the employer's premises,
his work cannot easily be supervised, and the
employer's losses, by waste and embezzlement
of materials, are the subject of perennial com-
plaint. Since he is self-directing, he is free to
shift from employer to employer at the conclu-
sion of any specified task, and within certain
Encyclopaedia of the Social Sciences
10
technical limits he can work when, where and
how he pleases conditions highly regarded by
workers in a period of growing individualism
The competition among employers for workmen
was on the whole outbalanced by the competi-
tion among workers for employment. The result
WAS a readily explicable effort to keep the
worker in dependence Holding him in a chain
of debt was common At Lyons, for instance, the
municipal regulations held that a silk weaver
could not change to a new employer unless his
debt to the old was paid or transferred with the
old employer's consent. The worker's tools had
usually been his own property, but later he
found himseif tied to the employer by rented
tools or machines or even a rented house. Be-
cause of the increasing economic pressure all his
family had to work long hours No social con-
demnation or public regulation checked child
labor On the continent as well as in England
there was a fair amount of legislation on wages,
which appears, however, to have been largely
ineffective; and the legislative prohibition of
truck payment, which gave the employer an
opportunity for a double profit, was only
sporadically effective Josiah Tucker, comparing
in 1757 the condition of the putting out workers
in the woolen industry of southwestern England
with that of the handicraftsmen of Yorkshire,
declares that the southern system tempts the
master "to consider his people as the scum of the
earth, whom he has a right to squeeze whenever
he can, because they ought to be kept low, and
not to rise up in competition with their su-
periors." To the hopeless situation of the work-
ers ("they shall always be chained to the same
oar and never be but Journeymen") he traces
their drunkenness, their proclivity to mobs and
noting and their belief that it is no crime to cheat
the master, their common enemy. The regime
of the putting out system brought no golden age.
It inaugurated the widespread employment of
women and children in industry; it helped to
strengthen the mercantihstic predilection for
grinding work and low wages for "the laboring
poor"; and it was largely accountable for the
growth of conscious opposition of class interests,
as between employer and employed.
Against these disadvantages for the laborer
there were some attractions which the system
offered him. Entrance to employment became
easy as apprenticeship regulations relaxed or dis-
appeared. The family could work and live to-
gether. There were possibilities of removal to
better paid branches or to more inviting regions
of employment. There were relaxations of pres-
sure during the prosperity phases of business
fluctuations In the countryside or even in the
spreading towns, until population grew, there
was often a bit of land with the laborer's
cottage, which added somewhat to income and
to change of occupation, there was also a chance
of extra earnings at harvest time. Above all, the
deep rooted desire for economic liberty, how-
ever illusory, survived the attacks upon the
worker's independence. The artisan was ex-
tremely loath to endure the iron discipline of the
factory and strove bitterly, as the long and per-
sistent struggle of the hand loom weavers
showed, against its encroachments.
To the entrepreneur the system gave wider
scope than had before been possible, even under
the wholesale handicraft system, for the profits
of a relatively more coordinated industrial or-
ganization It offered opportunity to men of
small means, and for a placement of capital, for
the most part circulating rather than fixed,
which was comparatively safe at a period when
capital was timorous and credit poorly organized
in the greater part of Europe This was especially
pertinent m the frequent and serious business
depressions, the burden of which could to a
large extent be thrown upon labor. But with the
growth of business security and opportunity the
disadvantages inherent in the system became
more obvious. The wastes of time, with the
carriage back and forth of materials through the
successive steps of manufacture, and of materials
entrusted to scattered, careless and pilfering
workers, were distressing; the difficulties of
supervision, despite all efforts, were great; and
the obstacles to the introduction of new methods,
such as the subdivision of labor, or of new ma-
chinery seemed practically insurmountable.
Furthermore, the expansion of demand for in-
dustrial products both in quantity and quality,
which marked the advance of the eighteenth cen-
tury, made increasingly evident the serious limi-
tations upon the growth of enterprise. Attempts
were made to seek new supplies of labor farther
afield, with branch depots under factors or sub-
putters out, or to concentrate the putting out
workers in the employer's workshop and even to
equip them with power and machinery. These
efforts succeeded in maintaining the declining
system in some regions and industries; indeed in
a few cases, such as the Swiss embroidery in-
dustry and the Crefeld silk manufacture, it has
won ground back from the factory. The ma-
chines in these instances have been moved to the
Putting Out System Pytn
workers' homes or workshops, and in consider-
able measure the control of hours and conditions
of labor has bettered the present day lot of the
putting out worker. But in the last half century
the putting out system, except m India and
China, where it remains strong, has given way
to the superior discipline and efficiency of the
modern factory. In European countries and in
the United States it has survived in the form of
sweated industries, such as the clothing and
needlework trades, chiefly in the slums of great
cities, or in processes ancillary to factory pro-
duction which employ town and country work-
ers, mainly women and children. With the
utilization of electrical power, however, and the
consequent decentralization which that makes
possible, some revival of the putting out system
may be attempted. If one of the major stages of
industrial organization should thus receive a new
lease of life, it will demand close study to insure
the provision of adequate social safeguards
which its history shows to be essential.
EDWIN F. GAY
See- GUILDS; HANDICRAFT, HOMFWORK, INDUSTRIAL,
FACTORY SYSTEM, RURAL INDUSTRIES, ORGANISA-
TION, ECONOMIC.
Consult Licfmann, R , Uber Wesen und Formen ties
Verlags dcr Hausindustne, Volkswirtschaftliehe Ah-
handlungen der badischen Hochschulcn, \ol m, pt i
(Freiberg i Br. 1899), Sombart, W , "Die Ilausmdub-
trie in Deutschland" in Archiv fur soziale Gcsctzifc-
bung und Statistik, vol iv (1891) 103-56, Stieda,
Wilhelm, "Litteratur, heutige Zustande und Lntste-
hung der deutschen Hausindustne," Verein fur So-
zialpohtik, Schnften, vol. xxxix (Leipsic 1889),
Schmoller, Gustavvon, "Die Hausindustne und ihre
alteren Ordnungen und Reglements," and "Das
Reel-it und die Verbande der Hausindustne" mjahr-
buch fur Gesetzgebung, Verwaltung und Volkwirth-
schaft im Deutschen Rtirh, vol xi (1887) 369-75, and
vol xv (1891) 1-47, Buchcr, Karl, Die Entitehung dcr
Volkswirtschaft (i6th ed Tubingen 1922), tr. by S M
Wtckett (New York 1901); Weber, Max, Wirtschafts-
geschichte (2nd ed by S Hellman and M Pal\i, Mu-
nich 1924), tr. by F. H. Knight as General Economic
History (New York 1927) ch. xi, Kulischer, J. M ,
Allgemetne Wirtschaftsgeschichte des Mittelalters und
der Neuzett, Handbuch der mittelalterhchen und
neueren Geschichte, pt 3, 2 voh> (Munich 1928-29)
vol. n; Ashley, W. J , The Economic Organisation of
England (London 1914) p 88-1 18; Gras, N. S B , In-
dustrial Evolution (Cambridge, Mass 1 930) chs m-iv;
Unwin, George, Industrial Organization in the Six-
teenth and Seventeenth Centuries (Oxford 1904),
Hauser, Henri, Ouvners du temps passe (Paris 1899),
Se, Henri, devolution commerciale et industndle de la
France, sous Vancien rtgime (Paris 1925), Tarl, E. V ,
L'industrie dans les campagnes en France cl la fin de
Vancien regime (Pans 1910), Davidsohn, Robert, Ge-
schichte von Florenz, 4 vols. (Berlin 1896-1927),
Doren, A. J., Studien aus der florentiner Wirtschaftsge-
II
schichte (Stuttgart 1901-08), Sombart, Werner, Der
moderne Kapitalistnu*, 3 vols (3rd ed Munich 1924-
27) vol n, pt 11, Furger, F , "Zum Verlagssystem als
Organisationsforni des Fruhkapitahsmus im Textil-
ge\\erbe," Viertcljahrschnft fur Sozial- und Wirt-
schaftsgeschichte, licihefte, vol xi (Stuttgart 1927),
Heaton, Herbert, The Yorkshire Woolen and Worsted
Industries, Oxford Historical and Literary Studies, no
10 (Oxford 1920), \Vads\\orth, A P , and Mann, J de
L , The Cotton Trade and Industrial Lamashne, 1600-
l?8, University of Manchester, Economic History
series, no 7 (Manchester 1931), Tryon, R. M,
Household Manufactures in the United States, 1640-
1860 (Chicago 1917), Cole, Arthur H , The American
Wool Manufacture, 2 \ols (Cambridge, Mass. 1926),
ILuard, Blanche E , Tin Organization of the Boot and
Shoe Industry in Afassachusetts before 1875, Harvard
Economic series, no 23 (Cambridge, Mass 1921);
Ware, Caroline F , The Early Ne^v England Cotton
Manufacture (Boston 1931), Meeruarth, Rudolf,
"Ncuere Literatur und CJeset^gebung auf dem Ge-
biete der Hausindustne und Hcimarbeit" in Archiv
fur Soztalivissenschuft und Soztalpuhtik, vol xxvm
(1909) 278-332, Belgium, Office du Travail, Biblio-
graphic generate des industries d domicile en Belgique
(Brussels 1908)
PYM, JOHN (1584-1643), British parliamen-
tarian Pym sat in Parliament from 1614 until
his death and during the Long Parliament
played a conspicuous part as unacknowledged
leader of the House of Commons Both in his
parliamentary speeches and in his actions Pym
displayed a firm belief in parliamentary sover-
eignty based on popular consent and in the
liberties of the subject Despite his support of
the Root and Branch bill as a bid for Scottish
cooperation he preferred a moderate Erastian
church policy with Parliament rather than the
king in control As a trained lawyer he helped to
maintain the authority of the law of the land as
administered by the courts of common law.
Pym's comictions not only forced him into
direct opposition to the early Stuart system of
royal absolutism, \vhich he wished to reduce to
a limited monarchy, but threw upon him the
burden of constructing a machinery of parlia-
mentary government to take the place of the
existing system dominated by the king. In both
tasks he was successful.
From 1621 onward he took the lead in organ-
izing parliamentary resistance to the royal
power. He saw the necessity of controlling the
king's advisers as key positions of the executive
and had an active hand in all the important im-
peachments of the period, notably that of
Stratford. He insisted on redress of grievances
before supply. By the abolition of the courts of
Star Chamber and High Commission in 1641 he
deprived the king of his most effective ad-
Encyclopaedia of the Social Sciences
12
ministrative instruments. But his greatest
achievement was in forging a parliamentary
executive machinery based on the committee
system. He developed this hitherto desultory
procedure to a high degree of efficiency, consti-
tuting committees both during and between
sessions. This innovation and the bill forbidding
the dissolution of Parliament without the con-
sent of its members provided the continuity
which was essential to a supreme executive
body. Pym's genius for administration was re-
sponsible for the creation of the first executive of
parliamentary sovereignty, which later de-
veloped into the cabinet system.
PHYLLIS DOYLE
Consult Gardiner, S. R , History of England from the
Accesnon of James l to the Outbreak of the Civil War,
16031642, 10 vols (new ed London 1893-95), and
History of the Great Civil War, 1642-1649, 4 vols.
(new ed. London 1893-97), Holdsworth, W S.,
History of English Law, lo vols (3rd ed. London
1922-32) vol vi, p 108-40, Tanner, J R , Enqhsh
Constitutional Conflicts of the Seventeenth Century,
1603-1689 (Cambridge, Eng. 1928), Gooch, G P ,
English Democratic Ideas in the Swenteenth Century
(2nd ed Cambridge, Eng 1927); Marriott, JAR,
The CVmv of English Liberty a History of the Stuart
Monarchy and the Puritan Revolution (Oxford 1930)
chs. vn-ix
QUAKERS. Applied at first as an epithet of
contempt evoked by manifestations of religious
ecstasy, the term Quakers has become the ac-
cepted designation for members of the Society
of Friends. Quakerism arose in England in the
middle of the seventeenth century under the
leadership of George Fox. In contrast to con-
temporary dissenting sects, its emphasis was not
upon matters of theology and doctrinal inter-
pretation but rather upon divine guidance in the
life of the individual the "inner light," or
"Christ within." Quaker reaction against sacer-
dotalism and formalism found its expression in
worship based on silence, the meeting of a group
for divine communion without prearranged pro-
gram, sermon or observance of outward rites.
Holding that the will of God for the individual
must take precedence over state laws, Quakers
refused to pay tithes for the support of a state
church because they considered the gift of God
to be free, not mediated through a privileged
class. They met to worship in their own way,
although such worship was forbidden by law.
They protested against luxury as oppressive to
the poor and appealed to all to live simply for
the sake of their less fortunate brethren. This
desire for simplicity underlay the adoption of
the peculiar dress which was characteristic ot
Quakers as well as their "plain speech," that is,
the use of "thee" and "thou" in place of the
more formal pronoun Insisting on one standard
of truth in everything, speech as well as action,
they refused to take even a judicial oath. For
upholding such principles many thousands were
imprisoned; yet their uncompromising stand
was an important factor in the struggle for
religious freedom in England Despite persecu-
tion and oppression Quaker doctrines spread
throughout the British Isles, reached New Eng-
land as early as 1656, and other parts of the
American colonies soon after.
This early period of intense religious activity
lasting until about 1690 was followed by an
interval of quietism, during which, although no
formal creed or confession had been developed,
rigid adherence to Quaker principles was ex-
pected of members. Those whose lives were not
in accordance with the "discipline" of the soci-
ety were "disowned," that is, denied the rights
of membership. Nineteenth century Quakerism
witnessed a relaxing of the discipline, followed
by a gradual revival, a reaflirmation of practical
mysticism and an increasing sense of the social
implications of religion with emphasis upon
organized philanthropy.
Before 1670 George Fox planned a demo-
cratic organization for the Quakers, which has
been little altered. One or more congregations
form a Monthly Meeting, which is the unit for
managing the society's affairs in any one dis-
trict Several Monthly Meetings form a Quar-
terly Meeting and a number of Quarterly Meet-
ings a Yearly Meeting, usually the national or
state unit. Each Yearly Meeting, of which there
are over thirty in the world, calls itself a Society
(or Religious Society) of Friends. In the meet-
ings for church affairs the clerk, who combines
the offices of chairman and secretary, may be
either a man or a woman (women share equally
with men in all community activities, and have
always taken an important part in the ministry
of preaching). There is no voting, the meeting
attempting by deliberation rather than debate
to find the will of God in any matter. Within
their own Society Quakers, or Friends, as they
call themselves, care for their poor and needy
and supervise the education of their mem-
bers through educational institutions of various
grades. Formerly they exercised a stringent su-
pervision over the personal, social and business
life of each member. Variations in emphasis on
points of doctrine and in organization occur
Pym Quakers
among the branches of Quakerism in the United
States, where a pastor and arranged services,
with voting in business meetings, often replace
the historic Quaker procedure.
Like other religious and reform movements,
Quakerism was both an expression of the broader
humanitarian tendencies of the eighteenth cen-
tury and a factor in the resolution of those
tendencies into concrete social reform. In the
abolition of slavery, the protection of Indians
and other backward races, the improvement of
conditions in prisons and insane asylums, anti-
militarist agitation and reconstruction work fol-
lowing wars as well as in general philanthropic
endeavor Quakers have been pioneers.
On the American continent William Penn
founded Pennsylvania as a refuge against per-
secution. While the Quaker regime in that colony
endured, Indians were paid for their lands and
received fair and equitable treatment at the
hands of the whites. Quakers also took a promi-
nent share in the administration of Rhode Island
and of New Jersey, and liberty of conscience
and democratic institutions were characteristic
of their rule. But the Quaker would not force
his beliefs upon others; when the majority be-
came non-Quaker, Quaker administrators usu-
ally either compromised in matters relating to
the military defense of the country or withdrew
from the government.
Quakers were among the earliest opponents
of slavery. By patient personal work, by appeal-
ing to the good in the oppressor as well as caring
for the oppressed they eliminated slaveholding
from among their own groups before the end of
the eighteenth century and sought to influence
public opinion in this direction. Many Quaker
names are connected with the antislavery cause,
notably that of John Woolman, who labored
untiringly for all who were oppressed by the
economic system, Anthony Benezet, who influ-
enced Clarkson to make the abolition of the
slave trade his life work, and later the poet
Whittier.
Until one hundred years ago Quakers were
chiefly middle class farmers and traders, most
professions and the fine arts being closed to
them either by law or by conviction. As shop-
keepers they tended to engage in business re-
lating to food, clothing and other essentials
rather than in "luxury" trades. Believing there
could be but one true price for an article, they
refused to bargain. Hence there arose in England
the custom of adhering to a set price for retail
goods. The honesty and integrity of the Quakers
13
brought them popularity with their customers
and constantly increasing trade; but if wealth
came, it was used for the building up of larger
businesses rather than for luxurious living.
Their freedom from convention and stress on
personal responsibility produced among them
experimenters and inventors: in the iron in-
dustry, the Darbys; m pottery, Cookworthy;
in science, Dalton and Eddington. The persona)
interest of Quaker employers in their employees
and of traders in their customers arose from
their belief in the spiritual value of each indi-
vidual. In early Quaker households apprentices
and servants were considered part of the family.
Later, as big business concerns developed, prac-
tical attention was given to the welfare of em-
ployees Bournville, near Birmingham, England,
built for the employees of Cadbury Brothers is
one well known example. Quakers have also
made experiments m corporate undertakings for
community welfare John Bellers, "the pioneer
of modern Christian socialism," published his
Proposals for raising a C oiled ge of Industry (Lon-
don 1695, new ed 1696; reprinted as Industry
brings Plenty, 1916). Out of his suggestions grew
Quaker experiments in industrial education at
Clerkenwell and Bristol During the next cen-
tury William Allen, editor of the Philanthropist,
a magazine devoted to social welfare, founded
an industrial training colony for laborers at
Lindfield, Sussex. Together with several other
Quakers Allen also participated in Owen's ex-
periment at New Lanark. At the present time
Quakers are engaged both in England and in
America m allotment and other schemes for
helping the unemployed.
Other causes which early enlisted Quaker
support were the education of the poor, as in
the Lancastrian schools; penal reform, led by
Elizabeth Fry and Peter Bedford, both of whom
were opposed to capital punishment; humane
treatment of the insane, as in the York Retreat
founded in 1796 by William Tuke, and tem-
perance reform. For the last two generations
Quakers have carried on foreign missionary
work, m which they have recognized the place
of the educational and medical missionary along-
side that of the evangelist. Formerly debarred
from the universities and most public offices by
their refusal to take an oath, they played little
part in politics in England until the nineteenth
century. In public life they have figured chiefly
as pacifists and social reformers; among these
Joseph Sturge and John Bright were out-
standing.
Encyclopaedia of the Social Sciences
Opposition to war has always been a distinc-
tive Quaker doctrine, and in every war members
of the sect have suffered for their refusal to fight
During the World War many Quakers were
conscientious objectors; some accepted alterna-
tive non-combatant service, while others who
took an absolutist position went to prison under
conscription laws A number of nominal Quakers
who did not hold the peace principles of the
society became soldiers. The Quakers' tradi-
tional peace testimony has, however, rested not
merely on negative war resistance but also on
an active promoting of reconciliation at all times
and on the relief of distress attendant upon war.
During the years 1914-18 Quakers cared for
enemy aliens and their families, organized am-
bulance units, carried relief to civilians in war
zones and as soon as it was feasible undertook
reconstruction work in devastated areas After
the war they assumed, with generous public
assistance, the burden of feeding the destitute
children in Germany and Austria and of much
reconstructive work in France, Poland and
Russia.
Because of prevailing conscription laws under
most governments Quakerism failed to gam any
considerable following in Europe At the present
time it is estimated that there are fewer than
500 adherents of the faith on the continent.
Quaker membership in the British Isles is ap-
proximately 22,000; in the United States 110,-
ooo; and in other parts of the world, chiefly
Madagascar, Australia and New Zealand, 8000
Despite this numerical insignificance Quakerism
has exerted a potent influence throughout the
Christian world. Its strength has lain in the
example set by thousands of ordinary men and
women, who, in spit.e of many failures in prac-
tical obedience, have sought to follow the "light
within" in their daily occupations As a body
they have been distinguished by their long tra-
dition of religious tolerance and humamtanan-
ism, and many of the causes in which they were
pioneers have become world movements.
ISABEL GRUBB
See PROTESTANTISM; SECTS; HUMANITARIANISM, CON-
SCIENTIOUS OBJECTORS; RELIGIOUS EKFFUOM, SLAV-
FRY.
Consult: Braithwaite, William C , The Beginnings oj
Quakerism (London 1912), and The Second Period of
Quakerism (London 1919), Jones, Rufus M , The
Later Periods of Quakerism, 2 vols. (London 1921),
and The Quakers in the American Colonies (London
191 1), in collaboration with I. Sharpless and A. Gum-
mere; Thomas, Allen C and R H , A History of the
Friends tn America (6th ed Philadelphia 1930); Em-
mott, Elizabeth B , A Short History of Quakerism
(Earlier Periods} (New Yoik 1923), Graham, John W ,
The Faith of a Quaker (Cambridge, Eng 1920),
Grubb, Edward, What is Quakinsin? (2nd ed London
1919), Best, Mary A , Rebel Saints (New York 1925),
Rowntree, Joshua, Soital Service; Its Plan- in the
Society of Friends (London 1913), Grubb, Edward,
Social Aspects of the Quaker Faith (London 1899),
Giubb, Isabel, Quakerism and Industry before 1800
(London 1930), Shdiplcss, I , A Quaker Experiment
tn (rorernment (rev ed Philadelphia 1902), Jorns, A ,
Studien uber die Sozialpohtik der Quaker, Volkswirt-
schafthche AbhandlunKtn der hadischen Hochschu-
len, n s , no 10 (Karlsruhe 1912), tr by T K Brown
as Quakers as Pioneers in Soital Work (New York
1931), Fry, Anna Ruth, A Quakfr Adventure (London
1926), and Quaker Ways (London 1933), Jones,
L M , Quakers in Action (New York 1929), Brayshaw,
S N , Unemployment and Plenty (London 1933).
QUANTITY THEORY OF MONEY. See
MONEY.
QUARRYING Stone production, one of the
most widespread of industues, present m every
country in the world and m every btate of the
United States, is described incompletely by the
term quarrying, which originally was applied to
the production of s>tone blocks from surface
opeiations, the principal activity a century ago
and earlier, as distinguished from the shaft oper-
ations of metal mines Today dimension stone
is obtained from both open pits and slopes and
shaft mines. Moreover mechanized production
of stone for crushing with high explosives and
power shovels at surface operations is similar to
open pit mining of iron ore, the recovery of coal
by stripping and the production of copper ore.
The average annual output of stone of all kinds,
including slate, in the United States for the
five-year period 1927-31 was more than 176,-
000,000 short tons with an average annual value
exceeding $216,300,000. The production of un-
finished stone alone m 1929, excluding non-
commercial stone and stone used m the manu-
facture of lime and cement, ranked fifth among
the mineral producing industries in total value
of products and third in the number of wage
earners employed, the tonnage was more than
twice that of iron ore or of anthracite coal. This
is indicative of the important part stone plays
in the world of raw materials. Dimension
stone is used not only m monuments and as a
premier facing material for modern steel sky-
scrapers but in a wide variety of fields, such as
electrical, lavatory and laboratory equipment;
roofing; blackboards; art goods; decorative in-
teriors; and road and bridge construction. In
Quakers Quarrying
crushed form, however, stone attains its greatest
economic utility, the largest quantities finding
cutlets in road building, as concrete aggregate
and as railroad ballast. The delivery of enormous
tonnages of quarry products to markets is an
important transportation item involving rail,
water and truck haulage. Coal and oil used m
quarries, mills, cement plants and limekilns
account for an appreciable part of the total fuel
supply, and the machinery and explosives re-
quired provide an outlet for factory goods
Unlike most of the non-metals, stone has an
important ancient history Its use identifies a
whole epoch in man's development, the stone
age, when it served as material for tools and
weapons It provided man's earliest construction
material, crude domestic equipment and orna-
ments, and upon it were recorded legal docu-
ments and artistic impressions Stone was to the
ancients what metals and fuels are to modern
industry; it was the boast of a Roman emperor
that he found the Eternal City brick and left it
marble. Granite and sandstone and some lime-
stone were quarried as well as rarer stones, such
as alabaster and marble, which were used to
make statues, cups, bowls, vases and other
artistic objects. At their apexes the significant
ancient civilizations showed a high degree of
skill in stone working and construction, which
found expression in palaces, pyramids, temples,
statuary, tombs, fortresses, amphitheaters, aque-
ducts and roads. Since it was too costly to hew
rock from its native beds with the crude hand
tools then available, such as drills and saws
made of copper and later of iron, it could be
used only for major public works. The produc-
tion process was slow and laborious and the
structures represented the efforts over long
periods of years of innumerable slaves and con-
victs, who labored under conditions of the
utmost cruelty and degradation (see MINING)
Hand methods and forced labor employed by
the ancients were modified but slightly during
the epoch of fortress and cathedral construction
in the Middle Ages.
The importance and utilization of stone were
greatly augmented by the economic and social
changes wrought by the industrial revolution.
Increasing urbanization required more stone for
building and street paving and incidentally for
public monuments. The growth of commerce
made better highways imperative, and the mac-
adamizing method of road construction created
a great demand for broken stone. The increasing
use of Portland cement after the i88o's required
large amounts of limestone, one of the essential
raw materials of the new hydraulic cement.
These two developments stimulated and im-
proved crushed stone quarrying Production
costs were diminished, and the employment of
stone became more general, through the mecha-
nization of the industry. At the same time stone
acquired new uses Limestone is used not only
because of its bulk, but also for its desirable
chemical and physical properties, which make
it an important raw material, particularly m
cement and lime manufacture Indeed in chemi-
cal industries lime is known as "king of all the
bases " Crushed limestone is employed also in
metalluigy as furnace flux, in sugar refining, in
rubber, paper, glass, mineral, wool and refrac-
tory manufacture and in many other ways, as in
coal mine dusting and as fertilizer.
There is an abundant variety of stone m the
United States. In the Appalachian district from
Maine and Vermont to Georgia a r e crystalline
marbles, slates, unaltered granite, sandstone and
limestone, in the region between the Appa-
lachians and the Rocky Mountains limestone
and sandstone are the characteristic commercial
stones, although isolated areas of granite occur;
in the Rocky Mountain belt both igneous and
metamorphtc stones are abundant and accessible
granites and marbles are of commercial impor-
tance, in the Pacific coast region are to be found
granite, basalt, marbles, slates, unaltered lime-
stones and sandstones and various forms of vol-
canic rocks. The exploitation of stone is under-
taken wherever markets exist sufficiently close
to desirable stone deposits Favorable endow-
ment of resources permits most communities
to satisfy from relatively nearby sources local
requirements for the ordinary rough uses of
stone.
Early colonization in the United States took
place in New England and the middle Atlantic
states where rock was abundant, so that stone
was the most widely used mineral in the first
part of the nineteenth century. Many quarries
supplied granite for houses and public buildings;
in 1833 a number of structures in Boston, in-
cluding the courthouse and several churches,
were built of granite, which was a 'so used in
the Bunker Hill Monument. Several marble,
sandstone and slate quarries were in operation
in Vermont, Pennsylvania and Connecticut. The
principal equipment of these early quarries con-
sisted of crowbars, wedges, sledges, crude wind-
lasses and horse drawn carts. By 1880 the annual
value of stone, which consisted mainly of dimen-
Encyclopaedia of the Social Sciences
16
sion products, was $22,000,000. There was a
fluctuating although gradually expanding use
during the succeeding twenty years. After 1900
the development was more rapid; the value of
output of limestone, granite, sandstone, basalt,
slate and marble rose from $75,992,000 in 1909
to $101,685,000 in 1919. Virtually the entire
increase was in limestone, which rose in value
from $29,832,000 to $52,944,000.
The stone industry of the United States since
the World War has been characterized by a
slowly rising demand for dimension products
and by a very rapidly growing demand for
crushed stone. The use of crushed stone was
confined almost exclusively to road building
until 1898, when larger quantities began to be
utilized for concrete aggregate and railroad bal-
last. Its phenomenal advance accompanied the
spectacular rise of Portland cement, for which
it supplied the principal constituent and with
which it was used as aggregate. In 1886 the
output of crushed and broken stone was smaller
in volume than that of dimension stone, while
in 1930 the tonnage of crushed stone was 30
times larger than that of dimension stone. In
1929 the sales of limestone exceeded the sales
of any other stone, while sales of stone in crushed
form exceeded the sales of any other form.
Total sales of stone other than slate in 1930
amounted to $178,948,611 (Table i); sales of
slate amounted to $7,91 1,618.
TABLE I
SALES OF STONE BY VARIFTIES AND USES, UNITED
STATES, 1930
VARIETIES
Limestone $100,002, 1 14
Granite 30,423,853
Basalt 17.053,031
Marble 12,905,596
Sandstone 10,285,391
Other 8,278,626
Total 178,948,611
USBS
Crushed stone 87,554,354
Building stone 39,111,527
Monumental I3, I 5755
Industrial* 17,686,433
Agricultural! 3,39,329
Other 18,129,418
* Limestone and marble, includes furnace flux but not lime-
stone used in the production of Portland cement, natural
cement, lime, etc.
f Limestone
Source Compiled from United States, Bureau of Mines,
Mineral Resources of the United Stales, igji (1933) pt 11, p 298.
The failure of dimension stone to show sub-
stantial gains for building purposes is due both
to the relatively high cost of stone and to the
time saved by the speedier type of steel and
concrete construction. The loss of income from
funds tied up m large building projects on valu-
able city real estate is often the determining
factor against the use of stone in favor of mate-
rials and methods which promise earlier com-
pletion. In addition to the time element various
dimension quarry products meet sharp compe-
tition from other industries; natural roofing slate
competes with manufactured roofing materials,
building stone with brick and soapstone toilet
basins with colored ceramic basins. The domi-
nance of crushed stone production is due largely
to the numerous uses to which limestone is put
(Table n).
TABLE II
OUTPUT OF CRUSHED LIMESTONE AND OTHER CRUSHED
STONE, UNITED STATLS, 1930
(In short tons)
Concrete aggregate and railroad ballast 56,775,060
Portland cement, including "cement rock" 40,500,000
Fluxing stone 17,021,350
Lime 6,780,000
Alkali works 4,436,160
Riprap 2,918,110
Agriculture 2,542,100
Refractory stone (dolomite) 453,35
Asphalt filler 430,290
Sugar refineries 414,340
Calcium carbide works 364,750
Natural cement ("cement rock") 341,000
Paper mills 248,790
Glass factories 224,180
Road base I39,3
Whiting substitute U9,35
Magnesia works (dolomite) 111,740
Mineral (rock) wool 64,850
Stucco, terrazzo and artificial stone 59,57
Coal mine dusting 47,75
Poultry grit 45,92
Filter beds 30,860
Mineral food 30,35
Fertilizer filler 12,240
Carbonic acid works 2,290
Roofing gravel I 74
Other uses 310,260
Total limestone 134,425,430
OTHER CRUSHED STONK
Basalt and related rocks
Granite
Sandstone
Miscellaneous stone
Total other crushed stone
Grand total crushed stone
16,045,091
6,989,334
2,770,908
7,594,704
33,400,037
167,825,467
Source Compiled from United States, Bureau of Mines, Min-
eral Resources of the United Stales, jtpjo (1933) p 355, 360
Dimension stone, including slate, and crushed
stone operations constitute two sharply defined
branches of the stone industry, differing in tech-
nology, types of products, management require-
merits, location and marketing processes. For
quarrying dimension stone explosives are used
very sparingly as the integrity of blocks must
be maintained Cuts are made with channeling
machines or wire saws or rock masses are sepa-
rated by wedging, whereas in quarrying crushed
stone heavy charges of explosives are used. Simi-
larly all subsequent steps in the preparation of
the two products for market differ The pro-
ducer of dimension stone uses saws, planers,
"carborundum" machines, rubbing beds and
polishers; the producer of crushed stone em-
ploys churn drills, power shovels, crushers,
screens, elevators and belt conveyors. Dimen-
sion stone is sold chiefly by the cubic foot, and
much of it commands a price sufficiently high
to give it a nation wide market Crushed stone
is sold by the ton and ib so low priced that it
will not bear heavy transportation expense Raw
materials for crushing are available in many
places; quarries are numerous and are scattered
throughout the country. The dimension stone
industries are centralized in a much smaller
number of localities. This is true particularly of
marble and slate.
As stone suitable for crushing is obtainable
in many places, it is practically impossible for
an operator to monopoh/c available deposits.
The producer is usually faced with competition
from nearby quarries, from natural gravel and,
in the vicinity of smelters, from crushed and
granulated slag. Assuming reasonably favorable
natural conditions with reference to depth of
overburden and distance from markets, success-
ful management eliminates competitors through
corporate consolidations and by maintaining low
prices through mechanized production and low
cost transportation. Thus in the vicinity of large
consuming centers ownership of plants shows a
remarkable degree of concentrated control. In
the United States in 1929, 7 of the 1453 com-
panies producing concrete aggregate, road metal
and railroad ballast accounted for more than 15
percent of the national production; 84 com-
panies produced more than 50 percent of the
output; and 869, or 60 percent of all the com-
panies, produced less than 7.5 percent of the
country's total.
Because of the need for heavy machinery to
facilitate mass production of a low value product
about 85 percent of the investment of crushed
stone companies is in plant and equipment, ihe
remainder representing the value of the land and
mineral. Markets are chiefly local in character
and transportation is of vital importance. Haul-
Quarrying 17
age charges represent a large part of the deliv-
ered price and limit the potential marketing
area. A survey made in 1926 indicated that
crushed stone shipments by rail ranged from 20
to 300 miles, 80 miles being about the average;
boat hauls were from 20 to 350 miles, and motor
truck shipments were from i to 25 miles With
the extension of hard surfaced highways and the
development of motor trucks capable of hauling
heavy loads at speeds of 35 to 50 miles an hour,
rail shipments declined from 57 percent of the
total production in 1926 to 39 percent m 1931.
The dropping off in rail transport is due to
several other factors, such as increased use of
local sources of supply in road work and the
activity of small portable plants. These tend-
encies have increased the volumes handled by
truck, and at the same time trucks have com-
peted more effectively in transporting the prod-
uct of the large centrally located plants.
The dimension stone industry in the United
States is composed of a number of subdivisions,
each practically an industry itself, organized
around a specific product with individual prob-
lems, corporate structures and specialized mar-
keting techniques. The most significant are the
limestone industry, principally in Indiana; the
granite industry, with important producing
areas in Maine, Vermont, Massachusetts, North
Carolina, Georgia, Minnesota, New Hampshire
and Wisconsin; the marble industry, centered
in Vermont, Georgia, Missouri and Tennessee;
the sandstone industry of Ohio; the soapstone
industry of Virginia; and the slate industry of
Vermont, New York and Pennsylvania. Indiana
oolitic limestone is by far the most used building
stone; its annual production represents about
45 percent of all kinds of natural building stone
and about 85 percent of all dimension limestone
in the United States. Because of the ease and
cheapness of quarrying and finishing it could
compete with more favorably situated building
stones and those previously more extensively
used, and its light buff and gray colors provided
relief and contrast from the somber browns and
reds w Inch had formerly been the vogue.
In the struggle to lower costs many forms of
machines have been adapted to quarrying di-
mension stone, but the high degree of mechani-
zation prevailing in crushed stone production is
not possible in the more delicate art of hewing
dimension blocks. Here the principal mechanical
advances followed the change from steam to
electricity and compressed air, which permitted
the powering of hand tools requiring more or
Encyclopaedia of the Social Sciences
18
less human direction in accord with the peculi-
arities of nature and the possibility of fracture.
Manual exertion has been greatly reduced by
the use of power shovels, drag line excavators
and hydraulic methods for overburden removal
and of the air drill, electric channeler, wire saw,
electric or steam hoist and power haulage in the
aciual quarrying process. The trend toward the
machine has been accelerated in recent years;
the total rated horse power of power equipment
at quarries almost doubled over the decade end-
ing in 1929. There are tasks, however, in which
the lever, sledge and wedge are still essential,
as in the removal of key blocks, and considerable
human labor is still required where the machine
fails or is inadequate. In the milling and finish-
ing plants, where rough standard sized blocks
from the quarry undergo further preparation,
powered diamond and gang saws, planers,
lathes, cranes and polishing machines aid in the
finishing; but carving is usually done by hand,
sometimes with the aid of pneumatic tools. Fin-
ishing quadruples the value of the raw blocks.
With the exception of the wire saw, which was
not widely used until 1928, mechanical equip-
ment has not reduced the enormous waste
incident to dimension stone production. Bowles
has estimated that not more than 40 percent of
the rock stripped and blocked out m the Indiana
limestone quarries is recovered in usable form,
m addition mill wastes amount to 10 to 20
percent of the gross footage entering the mill.
In the sandstone industry the volume of finished
products represents less than one half of the
quarry output; in the slate industry, where
wastes arc particularly large, the salable material
probably amounts to not more than 10 percent
of the slate quarried. Every branch of the dimen-
sion stone industry is affected similarly. While
some loss is unavoidable, the portion of the
waste due to carelessness m the use of explosive
and m the sizing of blocks is preventable.
Efforts to utilize quarry waste m the form of
crushed stone have not been successful as a
solution of the waste problem Promising at-
tempts to market the unusually pure and useful
Indiana limestone waste as by-product stone
fell far short of expectations, the material dis-
posed of representing only a fraction of the
thousands of carloads discarded. Insufficiently
large nearby markets are the chief difficulty
encountered in attempts to dispose of large
quantities of by-product stone; dimension stone
quarries are located without reference to large
crushed stone outlets, and the tonnage of salable
waste is limited by the consuming capacity of
areas adjacent to the quarries, since the low
value of the material precludes long hauls.
Companies producing only standard sized
quarry blocks and slabs are at a disadvantage in
marketing; for while off-size blocks may be
utilized with judicious management, they are
not readily disposed of and can command only
a low price. A second and larger group of com-
panies, which includes most of the large .pro-
ducers, quarry and manufacture stone into fin-
ished products. The affiliated mills are located
either at quarries or in nearby towns, the latter
usually being preferred because the labor re-
quirement is large and living conditions are more
favorable. A third group of companies buy
sawed or rough stock and manufacture products
but do not operate quarries. In the Indiana
limestone industry from two thirds to three
fourths of building stone is normally sold as
rough or sawed blocks and slabs to mills situ-
ated in large cities, where it is fabricated chiefly
for small or moderate sized building contracts.
The balance of the production is manufactured
in the mills operated in connection with quar-
ries. These mills, supplied with shop drawings,
cut the stones to exact dimensions for distant
construction projects. The smaller limestone
quarries in various states sell much of their
product directly to builders and contractors for
local use.
The task of marketing dimension stone is
primarily one of supplying a quality market with
a raw material for special purposes. Desired
building effects and other artistic considerations
are determining factors rather than distance
from source, as is illustrated by the broad dis-
tribution of Indiana limestone. Records of ship-
ments m the United States since 1917 indicate
that this stone is used in 43 states as well as in
Canada, which consumes about 2 percent of the
output.
In the past 40 years bankruptcies and receiv-
erships have been common in the American
stone industry and there has been a dominant
trend toward consolidation and concentration.
In 1886, 33 companies operated marble quarries
in Vermont. At present only 4 companies are
in existence, and one of them controls more than
90 percent of the state's output and about one
third of the marble production of the country
as a whole. One marble company, which in 1916
absorbed all competitors in the Georgia marble
district, supplies roughly one fifth of the national
total. In the granite district at Barre, Vermont,
8 or 9 companies operate and i company ac-
counts for about 25 percent of the district's
output. Considerably more than 50 percent of
the production of dimension granite in North
Carolina comes from plants of a single corpora-
tion. A quarrying company, formed in 1929 by
a merger with other producers in Ohio, controls
about 5 percent of the country's dimension
sandstone output, and there is only one pro-
ducer of dimension soapstone in the United
States.
The most spectacular effort toward concen-
tration in the stone industry was the combina-
tion of 20 quarrying and 6 independent milling
companies (out of a total of 36 companies) as
the Indiana Limestone Company in 1926 At the
outset the consolidation controlled more than
one half of the production of the Bedford-
Bloomington district, an advantage which was
not maintained, as output dropped to one third
of the district total in the next five years. While
the new company was not effective in checking
the growth of competitors, as the outstanding
producer its prices tended to set the tone for
quotations by other operators While there was
always a tendency toward a single price scale
for the district, this tendency was stronger after
the formation of the Indiana Limestone Com-
pany. Beneficiaries of the changing production
ratio were the independent quarrying and mill-
ing companies some of them the outgrowths
of earlier and smaller consolidations who after
the consolidation of 1926 organized the Building
Stone Association of Indiana as an independent
information and service bureau In 1932 the
Indiana Limestone Company was refinanced
and reincorporated as the Indiana Limestone
Corporation. In the first half of 1933 the new
corporation and the independent companies
joined in the formation of the Indiana Limestone
Institute, the early efforts of which seem to have
been directed toward sales promotion.
Trends toward corporate concentration in
important producing districts have never at-
tracted much public concern, as profits were
not sufficiently spectacular to command atten-
tion. While operations m a single district might
be consolidated, other producing areas and even
different stones provided active competition.
Moreover the relative abundance of stone re-
sources limits the effectiveness of corporate con-
solidations as an instrument of control even in
limited areas. Independent operations usually
continue and often increase in size at the ex-
pense of the combination, as unworked deposits
Quarrying 19
are readily available either for purchase or for
leasing on a royalty basis.
Royalties, although paid frequently, are not
very important economic considerations m either
the dimension or the crushed stone industries.
They are commonly charged as a fixed sum per
ton or cubic foot of material sold and vary
considerably with the size of operation, value of
products and other factors. Royalties range from
10 percent of the net selling price of slate to
4 to 10 cents a cubic foot on Indiana limestone
sold as cut stone for $2 to $3 or from 2 to 5
cents if the limestone is sold as rough building
stone Royalties for crushed stone vary from I
to 10 cents a ton depending on local conditions.
Whcie exploitation is undertaken on the public
domain, prevailing leasing provisions prescribe
a minimum royalty of 5 percent of the net value
of the output Most private owners require a
minimum average daily or monthly production
as a condition of the royalty agreement.
About 100,000 \vorkers arc employed in the
quirrv/mg and finishing of stone products. For
the quarrying of dimension stone the largest
single cost is the wage bill, which amounts to
one third of the value of the raw products. The
proportion of wages to value is much lower in
crushed stone production because of the higher
degree of mechanization In the manufacture of
marble, granite, slate and other stone products
in 1929, 37,805 wage earners were employed,
recei\ mg total wages of $63 ,057,000, or an aver-
age of $1669; this comparatively high wage is
indicative of the great amount of skilled labor
employed. Such figures as are available on em-
ployment show that quarry emplo>ees work an
average from 48 to 60 hours per week, with
considerable variations in length of the working
day among individual plants Adverse weather
conditions in v\ inter and seasonal demand effect
sharp reductions m working time. While some-
what less than a third of the quarries operate on
virtually a full time basis, the remainder work
much less steadily. Operations producing the
porous dimension stones, such as sandstone and
Indiana limestone, are normally idle from three
to four months during freezing weather, as frost
has a deleterious effect on unseasoned stone.
Naturally a larger potential working time pre-
vails for southern quarries as compared with
those in colder areas. Data as to accidents to
quarry workers indicate that the hazards are
about double those in the stone finishing trades
although fewer than in metal mining (see MINING
ACCIDENTS).
Encyclopaedk of the Social Sciences
20
The quarrying branch of the stone industry
is characterized by almost complete lack of trade
union organization, and wages are usually at the
scale prevalent for common labor in the locality
of the quarry This is generally true of the entire
crushed stone industry and of most dimension
stone quarries, with the exception of certain
parts of New England. In the Barre district of
Vermont and in certain parts of Maine and
Massachusetts the Quarry Workers' Interna-
tional Union of North America, with a reported
total membership of 4000, has enrolled quarry
workers and has become an active factor in
collective bargaining Local affiliates of this or-
ganization are reported in many other districts.
The important and strategic task of milling,
cutting and finishing dimension stone is handled
almost entirely by union labor. There are four
unions, all affiliated with the American Federa-
tion of Labor, active in this branch of the indus-
try: the Journeymen Stone Cutters' Association
of North America; the Granite Cutters' Inter-
national Association of America; the Interna-
tional Association of Marble, Stone and Slate
Polishers, Rubbers, and Sawyers, Tile and
Marble Setters' Helpers, and Terrazzo Workers'
Helpers; and the International Paving Cutters'
Union of the United States of America and
Canada These organizations are firmly in-
trenched, and with only a few exceptions their
members handle the milling and finishing of
stone at quarries and nearby milling plants and
at the finishing plants located in almost every
large city. The importance of the latter is appar-
ent when it is recalled that about two thirds of
the Indiana limestone leaves the producing dis-
trict as rough block and is finished at its desti-
nation. In certain instances some of the finishing
trades, possibly with the assistance of other
factors, apparently enforce conditions to the
interest of certain local unions which affect the
marketing of stone There seems to exist, for
example, an understanding that only rough
stone is to be shipped into the New York City
district for finishing within the metropolitan
area at such plants as those located in the vicinity
of Long Island City.
In general aspects the quarrying industries
are practically the same m all the highly indus-
trialized nations. Quarrying is usually carried on
for small local markets in economically back-
ward countries; primitive methods of production
prevail, although mechanization makes steady
progress. Some of these countries have a fairly
large production; thus British India in 1929
produced 4,760,000 tons of stone, mainly granite
and limestone. Some colonial countries produce
small amounts of stone for export; of 198,000
tons of limestone produced in the Congo, only
a small proportion was used locally. Nearly
every country produces several varieties of the
more important stones. In 1929 the United
Kingdom produced 14,614,000 tons of lime-
stone, 3,100,000 tons of sandstone and 305,000
tons of slate; France had a total stone produc-
tion of 39,500,000 tons, of which limestone rep-
resented 16,000,000 tons; Germany had a con-
siderable production of basalt, granite, limestone
and sandstone; Italy produced over 15,000,000
tons, including limestone, marble, sandstone and
lava stone. Every nation has adapted locally
available stones to its peculiar needs. Lime-
stones, sandstones and granites are the chief
varieties in general use, while Italian and African
marbles serve special purposes
The foreign stone trade of the United States
is not significant, exports seldom exceed $3,000,-
ooo in value, and during the five-year period
1927-31 imports about equaled outgoing ship-
ments Exports of stone, sand, lime and cement
averaged $5,537,000 m 1921-25, rising to $6,-
819,000 in 1929, imports averaged $5,906,000 in
1921-25, rose to $10,708,000 m 1928 and de-
clined to $7,377,000 in 1929. International trade
in stone is confined to requirements for particu-
lar varieties or highly desired types and to the
short distance movement of crushed stone to
nearby destinations across international bound-
aries.
O. E. KIESSLING
See MINING, MINING ACCIDENTS, CONSTRUCTION
INDUSTRY, CEMENT, NATURAL RESOURCES, LOCATION
OF INDUSTRY, COMBINATION, INDUSTRIAL.
Consult Eckel, E C , Building Stones and Clays (New
York 1912), Howe, J A , Stones and Quarries (London
1920), Hies, H , Economic Geology (New York 1912)
ch in, Dussert, Desire, and Better, G , Les mines et
le>> carrteres en Algerte (Pans 1931), Fitzler, Kurt,
Stembruche und Bergwerke im ptolemaischen und romi-
schen Aegypten, ein Beitrag zur antiken Wirtschafts-
geschichte (Leipsic 1910), United States, Bureau of
Mines, "Mineral Production of the World 1924-
1929" by L M Jones, in Mineral Resources of the
United States, IQJO (1933) pt. i, p 859-962; Hughes,
H H , "The Soapstone City" in Rock Products, vol.
xxxv, no. 3 (1932) 25-28, United States, Geological
Survey, "Slate Deposits and Slate Industry of the
United States" by T. N. Dale, E. C. Eckel, W. F.
Hillebrand, and A T Coons, Bulletin, vol. cclxxv,
ser A, no 63 (1906), United States, Bureau 6f Mines,
"The Technology of Marble Quarrying," "Sand-
stone Quarrying m the United States," "Rock Quar-
rying for Cement Manufacture," and "The Tech-
Quarrying - Quental
nology of Slate" by Oliver Bowles, Bulletin, nos. 106,
124, 160, and 218 (1906-22), and "Economics of
Crushed-Stone Production" by Oliver Bowles, Eco-
nomic Paper, no 12 (1931), and "Granite Industry,
Dimension Stone" by Oliver Bowles, Information
Circular, no. 6268 (1930), and ''Economics of New
Sand and Gravel Development" by J R Thoenen,
Economic Paper, no 7 (1929), "Crushed and Broken
Stone" by J R Thoenen in Minerals Yearbook (1933)
P- 595-6 QI , "Study of Quarry Costs" by J R Thoe-
nen, Report of Investigations, Serial no 2911 (1929),
"Study of Quarry Costs- Trap Rock, Sandstone,
Granite" by J. R. Thoenen, Information Circular,
no. 6291 (1930), and "Quarry Problems in the Lime
Industry" by Oliver Bowles and W. M Myers, Bulle-
tin, no. 269 (1927), and "Marble" by Oliver Bowles
and D. M Banks, Information Circular, no. 6313
(1930), Blatchley, R. S , "The Indiana Oolitic Lime-
stone Industry in 1907" m Indiana, Department of
Geology and Natural Resources, Annual Report, IOO?
(Indianapolis 1908) p. 299-460, United States, Geo-
logical Survey, "Indiana Oolitic Limestone" by G F.
Loughhn, Bulletin, no. 811 (1929), United States,
Bureau of Mines, "Quarry Accidents in the United
States during the Calendar Year 1931" by W. W.
Adams, Bulletin, no. 375 (1933).
QUATREFAGES DE BREAU, JEAN-
LOUIS ARM AND DE (1810-92), French
physical anthropologist. Quatrefages was pro-
fessor of natural history at the College Henri
Quatre from 1850 to 1855 and professor of
anatomy and ethnology at the Museum of
Natural History in Pans from 1855 to 1892.
After obtaining doctorates in mathematics, in
medicine and in natural sciences, Quatrefages
enlarged his studies under Milne-Edwards. His
study of man as an individual became an inves-
tigation of man as a species. His medical training
in the processes of growth and repair favored a
freshness of interpretation of morphology ap-
parent in his Metamorphoses de I'homme et des
animaux (Pans 1862; tr. by Isabella Innes, Lon-
don 1872). Although its underlying hypothesis,
geneagenesis, or the production of several gener-
ations through the medium of a single germ,
has been invalidated, it led Quatrefages to ex-
amine critically the zoological theories then
current. His most mature work is Uespece
humaine (Paris 1877; English translation, New
York 1879). Here he defends the hypothesis of
the unity of the human species and discusses
human migrations, race crossing, acclimatiza-
tion, fossil races, together with the physical and
psychological characters of contemporary hu-
man races so far as these were known at that
date.
Quatrefages' enthusiasm for original ob-
servation and for constant revision of accepted
doctrines led him to champion Boucher de
21
Perthes, to take a prominent part in the great
controversy over white and colored races in the
Socie^ d'Anthropologie de Pans and to par-
ticipate in the founding and maintenance of
learned societies, such as the Societe de Geogra-
phic de Paris. He was an able critic who held
closely to facts, invariably generous to his
scientific adversaries and never belittled their
contributions. He deplored the political use of
anthropological observations as a dangerous
practise which is almost always conducive to
error. The secret of his influence lay in his
scientific honesty and generosity.
T. WlNGATE TODD
Consult- Cartailhac, Emile, in Anthropologie, vol. ni
(1892) 1-18, with complete bibliography, "Preface"
by Edmond Perner, and "Notice sur la vie et les
travaux de M. de Quatrefages" by E T. Hamy in
Quatrefages, A. de, Les emules de Darwin, 2 vols.
(Pans 1894) vol. i, p. v-c, ci-cxl.
QUENTAL, ANTHERO TARQUINIO DE
(1842-91), Portuguese poet and philosopher.
Quental was born in the Azores of a noble family
with traditionalist views and studied law at the
University of Coimbra. Possessing adequate
means, he spent much of his time in travel. He
never held public office, nor did he engage in
private business enterprises. Philosophic medi-
tation, poetic idealization and socialist propa-
ganda among the working classes were his
favorite occupations. Possessed of an incom-
parable facility for self-expression and powerful
personal magnetism, he exerted a great poetic,
philosophic and politico-social influence. As a
poet he was the leading spirit in the revolt
against the romantic school in Portugal. He did
not consider poetry an end in itself, being more
concerned with its use as a medium for attacking
difficult moral and social problems. Quental is
a representative of the late nineteenth century
pessimism which followed the so-called "bank-
ruptcy of science," and his Hymno da manha
(Hymn of the morning) is the finest poetic ex-
pression of that pessimism. His philosophic in-
fluence was directed against the positivist ap-
proach introduced into Portugal by Theophilo
Braga. Quental took up and in turn rejected
various creeds and systems Catholicism, mate-
rialism, Buddhism, Hegelianism and finally
formulated a philosophy of his own which he
called "optimistic psychism."
His politico-social influence, which he com-
pared to that of a "minor Lassalle," was spread
through journalism, lectures and organizing
activity. He was one of the first to introduce the
Encyclopaedia of the Social Sciences
22
ideas of Proudhon and Marx into Portugal, and
his work forms part of the spiritual background
of the revolution of 1910 which abolished the
monarchy.
FlDELINO DE FlGUEIREDO
Works Obras de Anthero de Quental, vols i~\ a (Coim-
bra 1924-33), Anthero de Quental Si\ty-Four Son-
nets, tr by E Prestage (London 1894)
Consult Anthero de Quental In Memonam, eel by
M Lugan (Porto 1896), Sergio, Antonio, Notas sfibre
os sonetos e as tendencias geraes da philosopfna de
Anthero do Quental (Lisbon 1909), Figueiredo, Fide-
lino de, Jhstona da htteratura realista (1871- lyoo)
(2nd ed Lisbon 1924) p 39-85, Carvalho, Joaquim
de, A evolupao espintual de Anthero de Quental (Lis-
bon 1927).
QUESNAY, FRANCOIS (1694-1774), French
physiocrat. Quesnay, a doctor of medicine by
profession, had become physician to Pompadour
and subsequently court physician when he began
to publish the first elements of the economic and
social system which from 1767 was known as
physiocracy (for a detailed analysis, see Eco-
NOMics, section on PHYSIOCRATS) His first im-
portant disciple, Mirabeau the elder, was con-
verted in 1757, in the course of the next decade
he also gained the adherence of Dupont de Ne-
mours, Mcrcier de la Riviere, Le Trosne, Samt-
Peravy, Bandeau, Roubaud and other less well
known figures. Under Quesnay's leadership this
group became welded into a closely knit sect or
school, maintaining close contacts with the dis-
ciples of Gournay and supported by several of
the provincial agricultural societies and parle-
ments as well as by certain governmental officials.
Although all the characteristic doctrines of
physiocracy were inspired by Quesnay, his sub-
ordinate if not equivocal position at court made
him a discreet influence rather than a recognized
authority outside his own group. The extreme
compactness of his scattered writings also helped
to restrict his fame.
Quesnay's rural background sheds light on the
central position accorded agriculture in physio-
cratic doctrine. A man of exceptional strength of
character, he retained even at court the manner-
isms and interests inherited from his early life
on a small farm. His first economic writings,
two articles published in the Encyclopedic, were
entitled "Fermiers" (vol vi, 1756) and "Grains"
(vol. vu, 1757) In insisting upon the unique
capacity of agriculture, when pursued under
favorable conditions, to yield a produit net he
referred to large scale enterprise backed by
abundant capital such as he had observed during
his youth in the rich canton of !le-de-France.
Quesnay's ideas are presented most compre-
hensively in his Tableau e"conomique (Versailles
1758, reprinted by H. Higgs, London 1894),
which has long baffled commentators, and the
Philosophic rurale (Amsterdam 1763), written by
Mirabeau in collaboration with Quesnay, which
became the "Pentateuch of the sect." The for-
mer work, like the article "Impots" (written in
1757) and Theone de Vimp6t (Pans 1760), also a
joint product of Quesnay and Mirabeau, was a
direct response to the financial crisis of the
French government It was Quesnay's conten-
tion that public finance could be restored only
through a revival of agriculture, which would
thus be enabled to support property taxes high
enough to cover the major portion, if not all, of
the government's expenses. He WAS here setting
himself not only against industrial and commer-
cial mercantilism but against the multiplicity of
taxes and loans, the latter system, he insisted,
benefited only pecuniary fortunes, which "know
neither king nor country." His condemnation of
the populationist theory of national wealth was
expounded in his article "Homines" (written in
1757)-
In his general outlook Quesnay was essentially
a simple surgeon, constrained by the practise of
an art still held in slight esteem to observe
nature with deference. The faith in the healing
power of nature, which is a recurrent theme in
his Essai physique sur V economic animale (Pans
1736; 2nd ed , 3 vols , 1747), he transferred
with the aid of the philosophy ot Malebranche
to the social sphere, and in "Droit naturel"
(published in Journal de I' agriculture . . . , 1765)
he postulated the existence of a natural order
spontaneously able to harmonize individual in-
terests, provided they were allowed free rein It
was for this reason as well as for the mainte-
nance of the "good price" that he demanded
economic freedom As a political theorist he also
depended upon the free play of natural laws to
limit the sphere of the monarch Yet despite
his intractable temperament Quesnay was a pro-
ponent of "legal despotism." The essential ele-
ments of the latter doctrine, including the exal-
tation of public opinion and the notion of the
coownership of land on the part of the sovereign,
were first formulated in Quesnay's "Despotisme
de la Chine" (in Ephemendes du citoyen, 1767)
and developed by Mercier de la Riviere in col-
laboration with Quesnay in L'ordre naturel et
essentiel des socidtts pohtiques (London 1767).
G. WEULERSSE
Works. "Hommes" and "Impdts" are available in
Revue d'htstotre des doctrines economiques et sociales,
vol 1(1908)3-88,137-86 The most complete collec-
tion is Ouivres eionomi<jiic<i et philosophiques de F
Qut'wav, cd by Auustc Oncken ( Frank! oit iH88)
Consult Schelle, Gustave, Le docteur Qucsnay (Paris
1907), Weuleisie, G , Le mnurement phwocratique en
France de 1756 a 1770, 2 vols (Pans 1910), and Lo
phv\ionate\ (Pans 1931), Hi^'s, II , The Pfnuoirat!,
(London 1897), Gale, Charles, and Rist, ( harles,
Histoire des dottrmes ecotiomicjucs depuis les pl^sio-
cratcs ju^qu'a ;roi jours (5th cd Pans 1926) hk i, eh i,
See, Henri, TSevn/utton de la pemee politiqtic en France
an x\ /if siulc (Pans 192=;) pt i\ , ch i, Gunt/her^,
B, Die Gcscllu hafts- und~Staat<I f hre der Phisiokra-
ti>n, Staats- und \olkerrechtlichc Ahhandlunytn, vol
M, pt in (Lupsic 1907), Ilashach, Wilhelm, Die all-
gcmeinen philosophic hen (j'rutul/agtn der Ton Fian^on
Qucsnay und Adam Snnth beqrundeten pohtisc/ien
Okonnmie, Staats- und sot iah\issensc.hafthche l<or-
schungen, \ol xlm (Lcipsir 1890)
QUEThLET, ADOLPHE (1796-1874), Bel-
gian astronomer and statistician Quetelet was
the son of a minor muniup.il oHicial in Ghent
He was appointed professor of mathematics at
the Brussels Athenaeum in 1820 and later \\ent
to Pans to study the methods of practical
astronomy There he received instruction from
Laplace in the theory of probability. On bis
return to Belgium Quctclet, although continuing
his career in astronomy, became gradually more
and more interested in statistical problems and
the field which they ottered for the application
of the theory of probability In 1826, upon the
formation of the statistical bureau of Holland,
Quetelet became correspondent for Brabant and
assisted in formulating plans for the census of
1829. After the revolution of 1830 he became
the supervisor of statistics in the Belgian ad-
ministration and in 1841 he was instrumental in
the organization ot the Commission Centrale de
Statistiquc, of which he was president until his
death. Quctclct's influence on statistics came
first of all from his practical \vork in census
taking, the practical rules developed by him
still forming the basis of modern census work.
In addition he was largely responsible for the
extension of statistical study from such physical
facts as population, economic resources and the
like to the wide field of "moral statistics," which
includes the whole realm of acts determined by
moral or psychological factors. lie was ex-
tremely active in promoting international co-
operation with respect to uniformity and com-
parability of statistical data, and it was through
his leadership that the first International Sta-
tistical Congress was convoked in Brussels in
1853. In the field of theory Quetelet is known
Quental (Quetelet
23
above all for his conception of the homme moyen,
01 average man, a conception which in its
positive contribution represents the application
of the Gaussian normal law of error to the
analysis of distributions of data 011 human
characteristics. As a pioneering conception,
however, Quetelet's doctrine was inevitably
couched in metaphysical terms as a theory of
social determinism through an hypostatized ab-
straction It thus laid itself open to valid criti-
cism by statisticians and philosophers
Quetelet was led to his theory of the average
man by his observations on the distribution of
human statures The curve representing this
distribution was in fact none other than that
given by the theory of probability for the dis-
tribution of accidental errors From this he
concluded that the average man may be con-
sidered as the basic type, and the differences
between this type and the various mdrviduals as
so many accidental errors made in the multiple
reproduction of the type He believed that there
actually existed in nature fixed types which are
preserved despite differences in climate, en-
vironment, habits and institutions, and applied
the title of social physics to the science which
should determine these types Extending this
sort of explanation to man as a moral and
intellectual being, he declared that everything
which concerns the human species considered
en masse is of the nature of physical facts The
greater the number of individuals, the more the
free will of the individual effaces itself in favor
of "the seiies of general facts which proceed
from general causes as a result of which society
exists and is preserved " Thus not only the
average length of life and the sex ratio at birth
but also the annual number and age distribution
of marriages and the proportion of suicides and
crimes appeared to him to result from laws as
rigorous as those in the physical sciences De-
spite the criticism which the theory of the
average man provoked it none the less exercised
a great influence and helped to spread the con-
viction that there exists a determinism in social
phenomena.
MAURICE HALBWACHS
Important zuorks- Sur Vhnmme, 2 vols (Pans 1835),
tr hy R Knox (Edinburgh 1842), Physique saunlc y
ou Essai sur le dt-veloppement des faiultts de V homme,
z vols (Brussels 1869), comprising a new edition of
Sur T homme with much new material.
Consult Mailly, Edouard, "Essai sur la \ie et les
ouvratres de Quetelet" m Academic Royal des
Sciences, des Lettres et des Beaux-Arts de Belgique,
Annuatre, vol xh (1875) 109297; Hankins, Frank H ,
Encyclopaedia of the Social Sciences
24
Adolphe Quetelet as Statistician, Columbia Univer-
sity, Studies in History, Economics and Public Law,
no 84 (New York 1908); Lottin, Joseph, Quetelet
stattsticien et sociologue (Louvain 1912); Halbwachs,
Maurice, La throne de I'homme moyen Essai sur
Quetelet et la statistique morale (Pans 1913), Knapp,
G F., "Bencht uber die Schnften Quetelet's zur
Socialstatistik und Anthropologie," and "A Quetelet
als Theoretiker" in Jahrbucher fur Natwnalokonomte
und Statistik, vol. xvu (1871) 160-74, 34 2 ~58, 427-
45, and vol xvia (1872) 89-124, with bibhography of
Quetelet's numerous minor writings.
QUINET, EDGAR (1803-75), French his -
torian and man of letters. The devotion of a
Protestant mother, a stay in Heidelberg, a Ger-
man marriage and the friendship of Michelet
helped to make the imaginative, conscientious,
verbally facile young Qumet into one of the most
ardent and uncritical defenders of the resound-
ing generalities liberty, democracy, progress,
God which were common coin of the western
world in the nineteenth century. Qumet wrote
and lectured on many subjects. With Michelet
and Mickiewicz he turned the College de
FYance of the 1840*3 into a center of republican
agitation, or rather into a temple of republican
worship, for the proceedings were on almost too
sublime a plane for true propaganda. Qumet 's
works are all sermons and all reflect the belief
that ideas, and especially religious ideas, create
society. Thus the diversity of the Hindu pan-
theon produced a caste society and the oneness
of Jehovah was reflected in the unity of Hebrew
social organization. Qumet 's major emotional
attachments were to the Protestant church
(which he did not formally join), democracy,
freedom of conscience and of expression and
humanitarianism. For the Catholic church he
had a ceaseless hatred, and his ablest polemics
are those against the Jesuits His intellect could
never quite reconcile his various loyalties, and
this difficulty is> clear in his work on the French
Revolution, the only one to survive. He was a
democrat, a well known party leader, a senti-
mental lover of the under dog and thus bound to
enlist himself on the side of the great revolution;
yet, impelled partly by doubts as to the love of
liberty felt by a democracy which had estab-
lished Napoleon in by plebiscite, he wrote a
history of the French Revolution more bitterly
hostile to the government of the Terror than
many a royalist history. His grand conclusion
was that the French Revolution failed because it
was not a religious revolution, because France
did not bedome a Protestant nation. The body
of Qumet 's work seems far removed from the
social and economic problems which France of
his day was really facing, seems heavily over-
balanced with emotion and suggests that the
cultural implications of "Victorian" may profit-
ably be extended outside England.
CRANE BRINTON
Works- Oeuvres completes, 30 vols. (Paris 1857-95).
Consult Qumet, Hermione, Edgar Qumet depuis I'exil
(Pans 1889), Faguet, E , Pohttques et -morahstes du
dix-neuvieme siede, 3 vols (Pans 1891-99) vol 11, p.
175-227; Samtsbury, G , Miscellaneous Essays (Lon-
don 1892) p 274-99, Seilhere, E , Edgar Qmnet et le
mystuisme democratique (Pans 1919), Steeg, T , Edgar
Qumet (Pans 1902).
RABANUS MAURUS, MAGNENTIUS (older
forms: Hrabanus, Rhabanus) (c. 776-856), Ger-
man churchman, teacher and author. Rabanus
Maurus, teacher and abbot of Fulda and later
archbishop of Mainz, his native city, was easily
the most learned man of the ninth century, far
surpassing in erudition and wisdom his better
known master Alcuin. His numerous writings,
which reveal a profound knowledge of ancient
and patristic authors, surveyed the whole field
of sacred and profane knowledge. Designed to
inform laity and clergy alike, they were mostly
didactic in character. To characterize them as
chiefly compilations is merely to repeat what the
author admitted. He was convinced that it was
his duty to make his vast knowledge available
to all in the form of compendium and commen-
tary. Rabanus was the first great teacher and
founder of schools in Germany and seems to
have deserved the appellation primus praeceptor
Germamae While in charge of the abbey school
at Fulda, from 803 to 822, he infused a more
liberal spirit into the study of the arts and sci-
ences. The restrictions placed upon grammar,
rhetoric and dialectic by Boethius, Gregory the
Great and Alcuin gave way before his humanistic
viewpoint and his clear perception of the utility
of these disciplines in the pursuit even of divine
knowledge. After the example of Alcuin in
France, he did much to introduce the ancient
learning into Germany. Most of his active life
was devoted to the task of raising the intellectual
and cultural level of the German people. His
glossaries of German words, together with his
sermons preached in the vernacular, constituted
the first important contributions to the enlarge-
ment and refinement of the German language.
In order to revive the study of the Bible he
introduced into Germany instruction in Greek.
His Biblical commentaries, compiled from ear-
lier writers as aids for his students a"nd the clergy
Quetelet Race
generally, represent a valuable chapter in the
history of Scriptural exegesis. Later and more
original commentators owe much to his volumi-
nous and searching compilations. Perhaps his
best known work is the De clencorum instttuttone,
a complete manual based on the best authorities
of the past, for the education and training of the
clergy; this work was widely used for several
centuries. The whole range of his wide reading
and study is summed up in the most compre-
hensive encyclopaedia of the Middle Ages, the
De umverso, a somewhat larger treatise than the
great synthesis of Isidore of Seville, after which
it was patterned.
ROBERT FRANCIS SEYBOLT
Works: Rabanus' works are reprinted in PaTrologiae
latinae, ed. by J. P. Migne, vols. cvn-cxu (Paris
1864-78).
Consult Dahl, J C , Leben und Schriften des Erz-
btschofs Rabanus Maurus von Mainz (Fulda 1828),
Spengler, T , Leben des heihgen Rhabanus Maurus,
Erzbtschofs von Mainz (Regensburg 1856), Turnau,
Dietrich, Rabanus Maurus, der Praeteptor Germamae
(Munich 1900), Bach, J N , Hrabanus Maurus, der
Schopfer des deutschen Schuhvesens (Fulda 1835).
RABELAIS, FRANCOIS (c. 1495-^. 1553),
French romancer, physician and thinker. After
abandoning the monastic life Rabelais, a native
of Tourame, passed into the service and under
the influence of the liberal minded du Bellays.
Although he was concerned primarily with
scientific knowledge rather than with language
and philosophy, the great French realist speaks
gratefully of his debt to Bude and Erasmus. As
a link between mediaeval and modern literature
his importance cannot be exaggerated. In ad-
dition to his enormous influence on French
humorists from Moliere to Anatole France as
well as on foreign humorous literatures, he
played an outstanding part in the general diffu-
sion of the critical spirit which distinguishes the
France of the seventeenth century from that of
the sixteenth.
In the religious disputes he anticipated the
politiques by adopting a middle course. Parting
with Calvin on the question of man's innate
corruption, he always claimed to be sincerely
Catholic despite the Protestant tone of Gar-
gantua. Yet he stoutly demanded church reform
from within and attacked the idleness, ignorance
and bigotry of the church and the Sorbonne with
the same vigor that he manifested in excoriating
contemporary superstitions, particularly divina-
tion by witches, Vergihan lots, dice and in this
respect almost unique in his generation as-
25
trology. In educational theory he insisted that
education be viewed as a preparation for life,
stoutly advocated the necessity of instruction in
the natural sciences and in particular was the
first to insist on physical training In political
and social matters he at first expounded the
Platonic conception of kingship, demanding of
the ruler not only virtue and enlightenment but
also familiarity with the practical needs of his
land. Later he became more conservative but
repeatedly deplored all wars and denounced
such evils as the covetousness common to all
classes, in which he saw a major cause for the
corruption of law, marriage and other institu-
tions In the character of Bndoie he castigated
legal incompetence; in the Chats fourres am-
bition, in Entelechie social uselessness On the
positive side he emphasized the vital interde-
pendence of rich and poor and insisted that
privilege, "taking and receiving," should be sup-
planted as the guiding social principle by serv-
ice, "imparting and giving " Finally, the old
Utopian dreamer of Gargantua and Theleme
prophesied the rise of a new spirit of inquiry,
inspiring the resolute exploration of truth, both
absolute and scientific, and the building up of a
body of real knowledge, which would condition
the conduct of human affairs and exalt mankind
to ummagmed power.
A F. ClIAPPELL
Works Gargantua and Pantagruel are included in the
best modern edition, Oeurres, ed by Abel Lefranc
and others, \ ols i-v (Pans 1912-31) For detailed in-
formation concerning editions see Boulenger, Jacques,
Rabelais a tr avers les ages; compilation suivie d'une
bibliographic sommatre (Pans 1925).
Consult Tilley, Arthur, Franfois Rabelais (London
1907), Nock, A J , and Wilson, C R , Francis Rabelais
(New York 1929), Plattard, Jean, Vie de Franfots
Rabelais (Pans 1928), tr by L. P. Roche (London
1930); Chappell, A. F., The Emgma of Rabelais (Cam-
bridge, Eng. 1924), Gebhart, Emile, Rabelais, la
renaissance et la reforme (Paris 1877), Gmelm, Her-
mann, "Rabelais und die Natur" in Archiv fur
Kulturgeschirhte, \ol xxiv (1933) 71-89, Compayre",
G , Hivtoire de la pedagogy (Paris 1884), tr by W. H.
Payne (Boston 1885) ch. v. See also articles in Ret<ue
des etudes rabslaisiennes, published quarterly in Pans
from 1903-12 and continued as Revue du setzilme
sitcle, 1913-31,
RACE. The term race is often used loosely to
indicate groups of men differing in appearance,
language or culture. As here understood it
applies solely to the biological grouping of
human types. On account of the lack of sharp
lines of demarcation the attempts at classifica-
tion, based on varying characteristics, have not
Encyclopaedk of the Social Sciences
26
led to a generally accepted system. Early at-
tempts at a systematic arrangement of human
races were made in the eighteenth century.
Linnaeus included under the general order of
primates the genus homo sapiens, which he
divided into six subgroups, homo ferus, ameri-
canus, europaeus, asiaticus, afer, monstrosus. The
first and last of these groups may be disregarded,
the first as non-existent, the last as pathological.
The others are representative of the human
types inhabiting the four large continents, de-
scribed according to outstanding traits of a num-
ber of extreme forms. This procedure, on which
the whole Linnaean classification is based, was
in his case unavoidable because of the lack of
detailed knowledge of the distribution of human
types. It is interesting to note that in the de-
scription of each race mental traits are included
as biological characteristics. Buffon considered
the human races as varieties derived from an
original white form and developed under the
influence of climate. Blumenbach distinguished
five races of man Caucasian (European), Mon-
golian, Ethiopian, American and Malayan. His
divisions are based on distinction of color, hair
and descriptive features of skull and face. Later,
form of hair, color, form of nose and shape of
skull became the primary criteria by which
races of man were distinguished The number of
races so obtained varies from three or four to
thirty-four Huxley distinguished five races
Austrahoid, Negroid, xanthochroic, Mongoloid,
melanochroic Deniker established seventeen
groups subdivided into twenty- nine races. By a
similar method Duckworth derived seven prin-
cipal races. The types of Europe have been
described in particular detail Ripley's division
in the blue eyed, tall Nordic; the darker, short
headed Alpine; and the short, long headed Medi-
terranean is still much used; although later at-
tempts at finer divisions have been used by
Deniker, Hans Gunther and many others.
In more recent times attempts have been made
to place races in definite order, either phylo-
genetically, by trying to show that one type gave
rise by diversification to a new type; or by
investigating whether some types have retained
in their adult forms earlier stages of individual
development. Fritsch distinguished three fun-
damental races and derived from these meta-
morph, or mixed, races. Stratz distinguished
protomorph, archimorph and metamorph races.
The protomorph races, that is, those remaining
on a very primitive level with specializations in
which the large archimorph races do not par-
ticipate, are determined not anatomically, but
by the isolation of the inhabited area in which
ancient animal forms occur and by the low cul-
tural level of the people. The intermingling of
biological and cultural viewpoints vitiates this
classification. Klaatsch also is interested in the
establishment of a phylogenetic order of existing
and prehistoric races. The most recent attempt
at a detailed phylogenetic classification is that of
von Eickstedt.
These attempts at classification are based on
purely anatomical characteristics, except in so
far as mental traits are sometimes brought in as
secondary features. Friednch Muller, on the
other hand, classified races first of all by form of
hair, then by language. The intermingling of
anatomical and linguistic traits cannot result
in an understanding of the biological relation of
races.
Equally remote from biological interpretation
of racial forms are the attempts at classification
based on cultural conditions, from which certain
kinds of racial mentality are derived. On a purely
deductive basis Carus posited the existence of
four races, those of day, night, eastern dawn and
western dawn; that is, Europeans, Africans,
Mongoloids and Americans. Klemm divided
mankind into an active (male) and a passive
(female) group, the latter containing all human
forms except the Europeans and west Asiatics.
His anatomical characterization of the two
groups is altogether inadequate. In recent times
the belief in a close interrelation between mental
behavior and bodily build has come to be a
matter of great social importance Positive evi-
dence for such relation has never been given.
The similarity of form of closely allied races
early led anthropologists to introduce quantita-
tive values in place of vague verbal descriptions.
Thus Daubenton and Camper introduced meas-
urements of angles. Later linear measurements,
particularly of the skull, came into general use
and in 1842 Retzius utilized as a distinguishing
criterion the so-called cranial index the rela-
tion of breadth of head expressed in percentage
of the length. This procedure, which gives not
only the absolute dimensions of body parts but
also some indication of form, has been applied
to numerous other ratios on the skull as well as
on the skeleton and has since become a dominant
feature of anthropological research. The method
is being applied not only to skeletal material
but also to the living, and anthropometric de-
scriptions of types have become the rule.
The length-breadth index has a great taxo-
Race
nomic value in distinguishing local varieties of
man; it can be determined with great accuracy
on the living, and the values obtained on the
living and on skeletal material are nearly identi-
cal. For this reason this index has gained par-
ticular currency as an identifying mark of racial
types. It gives a numerical value for striking
differences in the appearance of head or skull as
seen from above.
Since the numerical values, including the
indices, range almost continuously from certain
minimum to maximum values in individuals of
each local type, it has been found convenient to
form three groups one including the lowest
values, another the middle values, the last the
highest values and to classify individuals ac-
cordingly. For the cephalic index particularly a
division has been made into dolichocephalic
(long headed), mesocephalic or mesaticephalic
(middle headed) and brachycephalic (short
headed) individuals or groups. The demarca-
tion of such groups is necessarily arbitrary.
Nevertheless, anthropological classification has
long been dominated by the concepts of doli-
chocephalic, mesocephalic and brachycephalic
races and the types have been defined further by
other measures and indices; such, for example,
are those determining the height of the head (the
distance of the vertex from a line drawn from ear
to ear or the distance from vertex to base of skull)
and its relation to the length of the head; or meas-
ures and indices of the face, such as the distance
from the root of the nose to the chin in its rela-
tion to the greatest transversal diameter of the
face; or those of the body, like that of the length
of limbs in relation to length of trunk.
These numerical values give an inadequate
impression of form, because in every case only
two measures are used to identify a complex
form. Heads or skulls with the same cephalic
index or the same height index may differ mate-
rially in form. This inadequacy of the purely
metrical method was felt by investigators thor-
oughly trained in anatomy, and in recent times
there have been an increasing number of at-
tempts to base the characterization of races on
morphological traits. Sergi classified skull form
according to general form rather than according
to index values. Many special investigations of
skeletal forms, teeth, hair, soft parts of the body
and blood are based on these principles.
On account of the lack of information regard-
ing the degree of hereditary fixity of the traits
dealt with, classifications based on them have
no genetic value. This is true of the elaborate
classification of races by Deniker, in which
stature and cephalic nasal and facial index are
prominent features. It is not known to what
extent any of these traits can be considered as
stable or subject to fluctuations caused by outer
conditions which, in conjunction with genetic
determinants, result in observed forms. If these
fluctuations are considerable and conditions
change, they may modify more or less funda-
mentally the taxonomic classification.
Races have been considered as well defined
units. Actually the picture of the race has been
constructed as that of an individual who pos-
sesses all the most pronounced traits of the
group considered or, in the case of metrical
values, who shows the most frequent value,
which is assumed to be the average value of the
measures. It has been recognized more and
more clearly that this view involves an inade-
quate simplification of the actual conditions.
Ever since Quetelet it has been understood that
the type represented by the average value of
descriptive or metric values is a fiction and that
in every case the race must be described by a
statement of the distribution of the multiplicity
of forms occurring within it. A statistical method
of description is therefore required and is re-
ceiving increasing attention.
It has become customary to assume that indi-
viduals representing a race are distributed ap-
proximately according to the law of chance (the
exponential law) or some other law closely re-
lated to it, and to describe the measurements
occurring in a type by their average and their
standard variability; that is, the average of the
square of all individual deviations from the
average. Races differ not only when their aver-
ages differ but also when their variabilities
differ. On this basis there have been drawn
geographical distributions of average values and
of variabilities of local types, which demonstrate
the gradual transitions between local types.
Maps also have been prepared, showing the
frequency of certain selected forms, like the dis-
tribution of tall or short, long headed or round
headed sections of a population. These are of
doubtful value, since the limits of these classes
are arbitrary and the erroneous impression is
conveyed that they represent distinctive racial
types.
The study of averages and variabilities has
proved that human populations inhabiting ad-
joining territories overlap in regard to most
features, so that it is not possible to assign with
certainty any one individual to a definite group.
Encyclopaedia of the Social Sciences
28
It is only when races of widely separated areas
are compared that there is no overlapping. Cri-
teria of fundamental races are valid only when
they are common to all individuals of the race
and are not found in other races. Thus the dark
pigmentation, the frizzly hair, the broad nose of
the true Negro are racial characteristics as con-
trasted with the slight pigmentation, blond,
wavy hair and narrower nose of the north Euro-
pean. Keith calls such races pan-diacritic. There
are no races of man in which no overlapping
occurs in regard to all the traits examined.
Negroes and Europeans may be tall or short,
round headed or long headed, large or small
brained. The averages and variabilities of these
traits may differ, hut the distributions are such
that many if not most values are common to both
races. Nevertheless, human types which are
fundamentally distinct in regard to any one he-
reditary trait must be considered in this respect
as distinctive genetic lines and the origin of their
peculiarity as well as what they have in common
with other groups deserves special attention.
It follows from these observations that stature
and cephalic index can be considered as funda-
mental racial criteria m exceptional cases only,
notwithstanding their value as characterizing
local varieties. Since they occur in almost all
races with the same values, they must be re-
garded as late developments. The dwarfish stat-
ure of the Bushmen and of other pygmy tribes
is an instance in which stature becomes a dis-
criminatory character.
Exact descriptions of human types are based
on the observation or measurement of many
traits. On the whole the interdependence (corre-
lation) between traits is not very great. Thus the
individuals who conform to the combination of
the most frequent traits are actually very few.
In a population consisting of varying individuals
all those who deviate too much from the middle
group are liable to be excluded as atypical and
the "pure" type may perhaps be defined as in-
cluding only individuals of the middle group.
Then only one half of the population would have
one typical trait, one fourth would have two
typical traits and only one in 1024 would have
ten typical traits, provided the selected traits are
unrelated. The type, therefore, has no reality
but is derived subjectively from the impres-
sion of the observed forms. When the variability
of the group is very small, the individual differ-
ences permit the grouping of many more than
one half of the series as true to type which
will then come much nearer to reality. There
are, however, few populations whose variability
is so low that the type is ever realized. For this
reason the selection of typical individuals must
always be ascribed largely to a subjective, selec-
tive process.
The problem of race must, however, be
attacked not only as a taxonomic question but
also from the point of view of the genesis of
racial form. The hereditary, environmental (per-
istatic) and selective influences which determine
racial forms must be considered. Hereditary
traits in man have been studied not so much
from the racial point of view as from that of
hereditary traits in given families. Besides eye
color and a few other traits pathological phe-
nomena have received particular attention. The
relative importance of environment and heredity
has been analyzed by means of investigations of
identical twins. The value of these investigations
of heredity in individual lines must not be
underrated, but the results should not be as-
cribed directly to the hereditary behavior of
races. These may be homogeneous and hetero-
geneous in two ways. A group descended from
a small group of ancestors of the same heredi-
tary form will be uniform throughout, as, for
example, the Eskimo of north Greenland, who
represent remarkably uniform measurements.
In these cases both the averages of the family
lines and the members of a fraternity will be
alike. In the case of descendants of ancestors of
distinct form who have been inbred for many
generations the averages of the family lines will
also be uniform, but ordinarily the members of
each fraternity will differ considerably among
themselves, because in regard to certain traits
they will revert to the ancestral forms. The fam-
ily lines will be uniform and each a good repre-
sentative of the whole population, while indi-
viduals may differ greatly. The population is
homogeneous as to family lines, heterogeneous
as to descent. Finally, there are populations in
which the family lines are very distinct and in
which the fraternities may be uniform or hetero-
geneous, according to the descent of the family
line. These differences are obscured in the usual
descriptions of the variability of populations,
which actually consists of two parts, the varia-
bility of family lines and also of fraternities;
these must be separated. Even in the most rig-
idly inbred communities considerable differ-
ences in family lines have been foimd, differences
which are much larger than t'.ose between
neighboring groups each taken as a whole.
Heredity exists solely m the distinct family lines,
Race
29
not in the racial group, and the genetic analysis
must be founded on a study of the behavior of
the component family lines.
If the family lines were identical and derived
from a single morphological source, selective
mating could have no influence upon the racial
type; if the origin of such a population is diverse
and there is a tendency to preferential mating
between certain forms, the family lines may
become distinct. If the family lines are diverse
and there is no preferential mating, they will
become more uniform during a period of con-
tinued inbreeding If there is preferential mat-
ing, the diversity may even increase. Differential
mortality, fertility or differential tendency to
migrate may also influence the distribution of
types and the taxonomic appearance of the gen-
eral type. Johannsen calls the population con-
sisting of a multiplicity of family lines a pheno-
type, while the family lines would correspond
to his genotypes. The term phenotype is also
used to designate the modification of the geno-
type due to peristatic causes, and some confusion
arises if the distinction between these two mean-
ings is not kept in mind. In the latter sense every
individual is a phenotype, and genotypes per se
are non-existent beca'use all individuals are sub-
ject to peristatic influences. A genotype not
subject to peristatic influences does not exist.
On account of the overlapping distribution of
forms types characterized by the same morpho-
logical traits may be found in populations rep-
resenting different types. The mere fact that
certain traits of such individuals are identical
must not be interpreted as meaning that they
are genetically identical; children of like pairs
which belong to different populations will have
unlike descendants, for these will tend to revert
to the general type of the population to which
they belong. Thus children of mesocephahc
Bohemians will be on the average more brachy-
cephalic, while children of mesocephalic Sicil-
ians will tend to be more dolichocephalic than
their parents.
The taxonomic classification of mankind does
not answer the question as to whether the form
is determined by heredity or by environment.
For an understanding of the significance of
racial characteristics the question of the heredi-
tary stability of traits selected for taxonomic
description is all important, a fact which was
recognized by Meigs, who tried to show by
comparative studies the stability of cranial
forms.
Among the metric values used by most in-
vestigators are those for which sufficient heredi-
tary stability cannot be proved. One of these is
the value of stature. There is ample proof that
stature has been constantly increasing among
west European and North American populations
since the middle of the past century. It must be
understood that modifications in metric values
do not mean that these measures are entirely
non-hereditary. It merely signifies that they are
subject to outer influences, whose extent should
be known if they are to be used for a classifica-
tion which has a genetic value. Non- hereditary
variations are called paravanations; those genet-
ically determined, idiovanations. When stature
is used as a criterion and it increases by reason
of outer conditions, a people may pass from a
type characterized as of medium stature to one
of tall stature. The same may occur in regard to
other characters. There are clear differences in
head form between wild animals and their de-
scendants born in captivity; these find expres-
sion in the proportions of the skeleton and
particularly in those of the skull. The evidence
showing analogous changes in head form among
European immigrants in the United States has
never been disproved. It is not definitely known
to what extent these measures may be modified.
The value of measures, as genetically significant,
depends upon knowledge of the degree to which
they may vary under changing conditions. The
cephalic index of east European Jewish immi-
grants who came to the United States between
1870 and 1909 was a little over 83. That of their
own children born more than twenty years after
the immigration of the mother is a little below
80. Thus the descendants may easily fall into
a taxonomic class distinct from that of the
parents. Changes like those here discussed are
probably not far reaching, although they render
a taxonomic grouping of closely allied forms,
like those of Europe, of doubtful value as genet-
ically determined types.
Even more important is the problem of the
interpretation of the difference in form of fun-
damentally distinct races, like Europeans and
Negroes. Hahn was the first to point out that
the mode of life of man is that of a domesticated
animal. Since fire and tools were in use in
quaternary times, man may even be said to be
the oldest domesticated form. Anatomically the
analogy between human races and domesticated
animals has been substantiated by Fischer and
Klatt. Man shares with domesticated animals
great variability of bodily traits, while the fea-
tures of wild animals are much more uniform.
Encyclopaedia of the Social Sciences
30
Such traits as form of hair, pigmentation and
size which show increased variability likewise
differ in domesticated amrnals. The spiral hair
of the Bushmen and the smooth hair of the
Mongol, the blond hair and blue eye of the
north European and the deep pigmentation of
the Negro, the tallness of the Scotsman and the
dwarfish stature of the pygmy, are paralleled by
analogous phenomena among domesticated ani-
mals, while they are absent among wild animals.
It is conceivable therefore that the differentia-
tion of races is not as ancient as might be sup-
posed from the contrast of existing forms.
It has been pointed out also that races con-
form more or less to the constitutional types
found in one's own population. It has been
shown by Weidenreich that thin, elongated
types (leptosome) and heavy set (eurysome, pyk-
nic) types occur in every population and that
the attempt to analyze a race as derived from
two distinct elements is based on a subjective
classification, not on genetic evidence The dis-
tinctive constitutional forms are due rather to
the relatively close interrelation between all
linear measures among themselves and all trans-
versal measures among themselves, while the
correlation between the two types of measures
is slight Furthermore the apparent constitu-
tional type depends upon use of the muscular
system and upon age. Active exercise of the
muscular system stimulates the growth of bones
in thickness but not in length, so that energetic
muscular activity in youth increases the number
of eurysome individuals Age also has a decided
effect; middle aged persons are on the whole
more eurysome than the young and the very
old. It has been observed that city children are
on the average more leptosome than children
brought up in the country. It must be recog-
nized that there are certain middle values in
each race which according to standards of one
race may be leptosome or eurysome, but which
form the central point from which more slender
or more heavily set individuals deviate. Obser-
vations as to constitution in one race cannot be
transferred directly to another.
The activity of the endocrine glands has a
decided influence upon the development of the
body of an individual Removal of testes or
ovaries leads to disturbances of growth. The
secretions of the thyroid and pituitary glands
and of the adrenals have a distinct influence
upon bodily form. If the secretions were subject
to local influences, they might bring about
modifications of bodily form in local groups.
Their role in the differentiation of races has not
been determined.
It seems quite certain that such differentiation
of fundamental forms as now exists must have
developed during periods of isolation of small
groups Such periods must be quite remote in
time, for there is clear evidence of constant
migrations and intermingling of peoples. For
Europe the example of the history of Spain, at
present a part of the continent least affected by
migration, is instructive. In early times it was
inhabited by Iberians whose racial affiliation is
not determined in detail; later Phoenician colo-
nies were founded along the coast. During the
era of Celtic migrations waves of these people
entered Spam from France. Then followed
Roman colonization. Still later Germanic tribes
invaded the peninsula and remained for a long
time the governing class Invasions from north
Africa brought a large part of Spain under
Moorish dominion Large numbers of Jews set-
tled in Spam during the early centuries of the
modern period and intermarried with other ele-
ments of the population.
The Celtic tribes s\v armed southward, north-
ward and eastward. The^ occupied the British
Isles, entered Spam and Italy and finally one
of their groups even established itself in Asia
Minor. The Germanic tribes, which had for-
merly lived in the area extending from tne Black
Sea to the North Sea, migrated westward and
southward, deserting their eastern homes and
invading western and southern Europe, they
even reached north Africa. Their former homes
were largely taken over by Slavs who expanded
northeastward from their home somewhere in
southeastern Europe, intermingling particularly
with Finnish tribes. Later the Germans reoccu-
pied part of the territory they had given up
earlier and assimilated the people east of the
Elbe. While these migrations can be followed
historically, others may be inferred from evi-
dence of prehistory. Thus the people speaking
Italic and Greek languages must have super-
seded previous occupants of the southern penin-
sulas of Europe.
The same conditions prevailed on other con-
tinents. Peoples related to the Malays of south-
eastern Asia migrated eastward, inhabited the
islands of the Pacific Ocean and reached west-
ward Madagascar on the east coast of Africa.
The Turkish peoples expanded from central
Asia into Siberia and southward into Europe.
In America the Athapascans extend from the
Arctic coast into northern Mexico, the larger
Race
groups living m the subarctic area from Hudson
Bay to Alaska and in the Rio Grande region,
while small groups are found in many localities
near the Pacific coast In South America the
Carihs are scattered over a vast territory The
relations between these groups have been deter-
mined by linguistic comparisons, but since lan-
guages spread only by personal contact and
almost always by intermarriage they are satis-
factory proof of migration.
Even in earliest prehistoric times migrations
must have occurred. The sudden change from
the Neandcrtal type prevailing at the end of the
older palaeolithic period to the new type of the
later palaeolithic can be explained only by mi-
gration, for there is no ground for assuming that
the new type developed suddenly in Europe.
One of the greatest early migrations must have
been the invasion of America, which may have
occurred toward the close of the ice age Since
no predecessor of man has been found in Amer-
ica and there is a close relation between the
American Indian and the Mongoloids, it must
be assumed that there was an immigration from
Asia, early enough to have allowed for a gradual
movement of bands which spread from the
Arctic through the tropics to the extreme south-
ern part of South America and which became
differentiated during this migration
The period of isolation must ha\e been ex-
ceedingly remote and it may be expected that
an intermingling of types will be found almost
everywhere. It is therefore particularly impor-
tant that the effect of intercrossing be under-
stood Even if the evidence offered by prehistory
and linguistics regarding the early migrations of
man be set aside, the degree of variability of
most local types has led to the impression that
in most populations several types are present
which have to be segregated Such segregation
presents serious difficulties arising from the
subjective character of the type The previous
experience of the person who establishes the
type concepts will to a certain extent determine
the types recognized.
The analysis of a population has been at-
tempted from the point of view that certain of
the arbitrarily selected groupings of measures
have been assumed as characteristics of primary
races, so that, for example, the combination of
low cephalic, facial and nasal index would char-
acterize a primary race and the number of races
would be determined by the eight possible com-
binations of these features. On account of the
great variability of racial forms this leads to the
assumption that every one of these arbitrarily
constructed primary races would occur in almost
all parts of the world, and by necessity other
characteristics, such as pigmentation and hair
form, would have to be considered as varying
under external conditions Genetically groups
of this kind are unstable. They contain only
extreme constitutional forms in a mixed series
and the children of parents of extreme form tend
to revert to the middle forms of the population.
For this reason also their value as primary racial
groups cannot be accepted.
In a number of cases it can be shown that a
population is actually mixed. In a homogeneous
population all the measures of an individual will
increase simultaneously. For instance, length
and breadth of head will both increase with
increasing stature This would be expressed by
a positive correlation between these two head
measures. When the population is descended
from one ancestral group, a part of which has
long and narrow heads, and from another with
short and broad heads, the longer heads will
have less breadth than the shorter ones. There
will be a strongly diminished or even negative
correlation due to mixture Conversely, if one
type has small measurements and the other large
measurements, there v\ill be an increase in the
value of the correlation Such disturbances of
normal relations may reveal the intermingling
of types, although the components, unless ac-
tually found in some locality, cannot be recon-
structed Even in this case it would be necessary
to know the purely biological relation between
the measures, before the attempt at determining
the degree of mixture could be made For these
reasons attempts to analyze populations accord-
ing to the racial descent of the component
elements have not been very successful, and the
manner in which bodily traits are transmitted
makes it very doubtful whether it will ever be
possible to segregate the constituent parts out
of a population of mixed but unknown descent.
It is essential to know the exact laws of inherit-
ance in mixed forms, a subject about which
knowledge is still inadequate although the prob-
lem has received some attention According to
Mendehan laws a splitting up of racial charac-
teristics may be expected in certain cases. This
simple form of effect of continued crossing be-
tween distinct types has not been observed very
often Even before the rediscovery of the laws of
Mendehan inheritance von Luschan had ob-
served a reversion to parental types in the head
index of the population of Asia Minor, which
Encyclopaedia of the Social Sciences
32
he considered as descendants of a very early
mixture of the round headed Armenian and the
long headed Syrian type. The clearest case is the
splitting up of the descendants of blue eyed and
brown eyed parents, who follow very closely the
simplest forms of Mendelian inheritance. No
absolutely certain cases of brown eyed descend-
ants of pure blue eyed parents are known, while
crosses between heterozygous brown eyed par-
ents, that is, descendants of parents who each
had one blue eyed and one pure brown eyed
parent, have nearly 25 percent blue eyed and
75 percent brown eyed children. For the head
index an increase of variability has been shown
with increasing difference between the corre-
sponding indices of the parents. The width of
the face of half blood Indians shows a decrease
in variability and at the same time apparently
two maxima of frequency, one corresponding
nearly to the white, the other nearly to the
Indian ancestry. The stature of white-Indian
half bloods is greater than that of either ances-
tral form. Herskovits has shown that for many
traits of the mulatto variability is not increased,
while according to Barnes the variability of skin
color is greatest for quarter Negroes It has also
been shown that the fertility of white-Indian
half bloods is greater than that of pure Indians.
Evidently the laws of inheritance of different
traits are varied and for this reason also a purely
statistical analysis of the distribution of traits
in a given population cannot be made. A com-
parison of races must therefore be based on the
genealogical study of the component family lines
of populations, and the more this is done the
less fundamental the difference between racial
types appears to be. When racial types like
Negroes, Mongols and whites are compared, a
purely morphological basis may be used in which
the distinguishing characteristics of the race
may be discerned; but whenever the features over-
lap genealogical study becomes indispensable.
Recently much stress has been laid upon the
possibility of analyzing races by means of blood
groups. Bernstein derives from the behavior of
heredity of blood groups the existence of three
fundamental racial types, the mixture of which
has resulted in the distribution of blood groups
in modern populations. The striking difference
between the blood groups of the American In-
dians and the races of the Old World is in
curious conflict with the morphological simi-
larity between Indian and Asiatic racial types.
The fullest material is available from Europe,
where curiously contradictory results have been
obtained. It would seem according to Lattes
that in closely inbred groups characteristic dis-
tributions of blood groups develop, while no
appreciable differences are found between more
widely scattered groups, such as the Jews of
Berlin and Poland, when compared with the
remainder of the population of the same places,
or between Lapps and Swedes of adjoining
territories. In all races, except perhaps among
pure American Indians, who may have only one
of the recognized blood groups, all groups occur
in varying frequency. It seems doubtful whether
it is justifiable to claim that every racial type
containing the various blood groups must be a
mixture of distinct races. So far attempts to
correlate blood groups and morphological form
have not led to any positive results. The state-
ment of Lattes that the blood group is a char-
acter of the same order as pigmentation or shape
of the skull is probably a correct summary of
present knowledge of the problem.
In a comparison of man and the anthropoid
forms a number of striking resemblances are
found which indicate the direction in which man
has diverged and specialized. The special forms
developed in the various races do not show that
one can be considered as more advanced from
the prehuman type than another. The diver-
gences are rather in different directions. Thus
the Negro is most divergent in the increased
length of legs and in the strong development of
the lips; the Mongoloid in the loss of hairiness;
the European in depigmentation, reduction in
the size of the face, elevation of the nose and
increased size of the brain. The last of these
features might perhaps be considered as the
most important deviation from lower types, but
it is not the sole property of the European. The
largest brains are probably foilnd among the
Eskimo. The Australian represents perhaps the
only racial type characterized by less speciali-
zation in specifically human traits than others,
but even in this case the divergences from animal
forms are in such directions that he can hardly
be placed on a lower evolutionary level as com-
pared with other human races. It must also be
remembered that the reduced size of the face of
the European and the projection of the face of
the Negro may be due to influences of domesti-
cation, since these forms occur among domesti-
cated races, so that they would have to be
considered as secondary modifications rather
than as evolutionary stages.
The racial differences in average size of brain
are slight as compared with the individual varia-
Race
tions which occur in each race, so that a con-
siderable amount of overlapping occurs. Ex-
tremely large values may be rare or absent in
one race, extremely low ones in another, while
in the bulk of the population the same middle
forms will occur. It is not justifiable to identify
size of brain and intelligence. The size of
the brain depends not upon the number of
nerve cells and fibers and their connections, but
to a much greater extent upon tissue which has
nothing to do with nerve activity. The configu-
ration of the sulci of the brain is also so variable
that nothing definite can be inferred therefrom.
There are relations between the form of the
skull and the configuration of the brain, but the
observation of artificially deformed heads sug-
gests that there is no functional relation. The
existence of fundamental structural differences
likewise has not been proved.
The general question of the cultural signifi-
cance of race hinges upon the problem of the
functioning of the body. While the anatomical
form of the adult is almost stable until the time
when senility sets in, the functions depend upon
varying conditions to such a large degree that a
constant, typical value for a measurable function
can be given only with great difficulty. The
metabolism of the body may be cited as an
example. In order to obtain results that are in
any way comparable it is necessary to see that
sufficient time elapses after the last meal, that
there is no exertion of any kind in the period
preceding the test and that body and mind are
completely relaxed. Unless these conditions are
fulfilled the results of the test will differ greatly.
Similar conditions prevail in regard to the func-
tioning of the heart. Exercise and excitement
accelerate the heart beat, and the amount of
available oxygen also has an influence It follows
that an individual who lives in a temperate zone
at sea level and leads a quiet inactive life will
react quite differently when taken to a high
altitude where he has to do strenuous work.
Within limits the organism is perfectly adjust-
able. There is a margin of safety within the
limits of which the organism is adjustable to a
variety of conditions. It follows conversely that
in many cases representatives of different races
living under similar outer conditions will appear
functionally alike, while individuals of the same
race living under different conditions will appear
quite distinct. Phenomena of this kind have been
observed in the development of the individual.
Thus the period of sexual maturity of the well
to do is accelerated as against that of the poor;
there are differences in the time of dentition and
in the climactenum. In a number of cases the
same environmental conditions may emphasize
differences of type; for instance, in the effect of
sunburn, which darkens darkly pigmented types
while it reddens those of light complexion.
What is true of physiological functions is
equally if not more true of mental reactions.
Even such a simple psychophysical phenomenon
as reaction time is subject to enormous fluctua-
tions according to the presence or absence of
distractions. A certain minimum value may be
found for each individual, but the slightest di-
version of attention brings about a rise in the
reaction time. The variability of the emotional
tone of the individual is so obvious tliat it does
not require experimental proof. The differences
between mental tone in fatigue and after rest are
also obvious.
In the study of anatomical form of the adult
only the serial variability must be taken into
consideration, for each individual remains stable.
In the study of function recognition must be
given to a high degree of variability in the indi-
vidual which is added to the purely structural
determinant. It is therefore not surprising that
individuals of the same descent react differently
under varying outer conditions.
Because of the difficulties of precise quanti-
tative determination of mental traits it is not
easy to give satisfactory data in regard to all
mental traits. The dependence of such reactions
as are measured by vauous types of intelligence
tests offers a fairly satisfactory answer to mental
phenomena which can be reached by these
methods. Thus Brigham found that among
groups of Europeans who had immigrated at
various times and had been subjected to intelli-
gence tests those who had stayed longest in the
United States gave the best results. While origi-
nally he ascribed this to the immigration of more
poorly equipped stock in later years, subse-
quently he withdrew this conclusion It seems
more plausible that the improvement is due to a
gradual assimilation to American speech and
customs. Khneberg found this to be the case
among Negroes migrating from rural districts
to cities. The evidence in regard to mental dif-
ferences between races has been assembled by
Garth, who reaches the conclusion that no essen-
tial differences have been proved.
The attempt has also been made to evaluate
the functions of individuals of different racial
types living in the same geographical and social
environment. While it is exceedingly difficult to
Encyclopaedia of the Social Sciences
34
find an absolutely equal social environment, it
may be assumed that it exists approximately in
groups living socially on equal terms. The at-
tempt to find definite correlations between
European types and their mental performances
have not shown any such relations; on the con-
trary, the only constant difference found is that
between rural and city populations.
It would be rash to infer from these observa-
tions that there are no differences whatever in
the distribution of biologically determined intel-
lect or personality; if exactly the same conditions
could be attained for a sufficiently large number
of individuals, biologically determined differ-
ences might be found, but it seems impossible to
attain sameness of conditions The only safe
conclusion to be drawn is that careful tests re-
veal a marked dependence of mental reactions
upon conditions of life and that all racial differ-
ences which have been established thus far are
so much subject to outer circumstances that no
proof can be given of innate racial differences
Just as in consideration of bodily form indi-
vidual heredity has to be emphasized as against
the fictitious heredity in a large group consisting
of many distinct lines of descent, so the same
distinction has to be made in regard to mental
traits. The tenets of the behavionstic school of
psychology, in so far as they deny all influences
of bodily build upon mental activities, can
hardly be maintained The contrast between the
extremes, between idiot and genius, contradicts
their assumption; if these are dependent upon
bodily build, then lesser differences also will find
expression. It is intelligible, perhaps demon-
strable, that identical twins or members of a
family show similarities in behavior that are,
in all probability, hereditary. In a larger, not
inbred group there must be so many differences
between family lines that it is not possible to
speak of racial heredity.
The observation which has given particular
strength to the assumption that bodily form and
mental characteristics are closely correlated lies
in the peculiar distribution of human types and
of cultures. In each area a certain type and a
certain culture are found locally associated. Sim-
ilar conditions may prevail in social strata of the
same population, and from this the inference is
drawn that they must be causally related in the
sense that bodily form determines the culture.
Such an inference is admissible only if it can
be substantiated by biological evidence. The
limits of racial types are not clean cut, and
similar individuals always occur in neighboring
groups. The limits of distribution of cultural
types are also not distinct and do not conform
to the limits of racial types. The type of one area
is defined by its main features, and the culture
of the same area is also characterized by its chief
traits. If the geographical grouping is made by
racial types, there must result a corresponding
grouping of cultural traits which is due to the
selection of areas (or sections of a population)
without any necessary causal relation between
the two groups of traits. A positive answer to
the claim that racial descent determines mental
characteristics would require proof that without
regard to cultural environment and to location
the same type must always produce the same
mental characteristics.
If there is any truth in the fundamental gen-
eralizations of Mendehan inheritance, it must
be expected that various traits of the body which
are not intimately associated are inherited inde-
pendently of one another, so that in the inter-
mingling of genetic lines ever new combinations
will arise. It has never been proved that form
of the head, color of hair and form of nose have
any intimate association with mental activities.
Karl Pearson has followed a rigid method in
investigating such possible correlations and his
results are entirely negative Unless such proofs
can be given, the interpretation of character by
bodily form remains as imaginary as that of the
phrenologist. The weak correlation between
constitution and pathological conditions, and
particularly mental diseases, might be brought
forward as indicating the possibility of such
relations, but even here no one would claim that
every person of leptosome type must be manic
depressive and one of pyknic type schizophrene.
It must be emphasized that no proof has been
given that the distribution of genetic elements
which may determine personality is identical in
different races. It is likely that there are differ-
ences of this kind, provided the anatomical
differences between the races are sufficiently
fundamental. On the other hand, the study of
cultural forms shows that such differences are
altogether irrelevant as compared with the pow-
erful influence of the cultural environment in
which the group lives. While each individual
may react in his own way to the culture in which
he lives, the behavior of the whole group con-
forms to its standards. This conclusion was ex-
pressed by Waitz as early as 1858 and is the basis
of all serious studies of culture.
FRANZ BOAS
See, RACE MIXTURE; HEREDITY; MAN; ARYANS, EN-
Race
VIRONMENTALISM; DOMESTICATION; MISCEGENATION;
INTERMARRIAGE; ETHNOCENTRISM, NATIONALISM;
RACE CONFLICT, MIGRATIONS; ANTHROPOMETRY;
MENTAL TESTS, EUGFNICS; ADAPTATION, AMALGAMA-
TION, DEGENERATION, ANTHROPOLOGY, CULTURE.
Consult' Topinard, Paul, Elements d'anthropologte
generate (Pans 1885); Demker, Joseph, Les races et
les peuples de la terre (and ed. Pans 1926), tr as The
Races of Man (London 1900); Gunther, H. F. K ,
Rassenkunde des deutschen Volkes (i4th ed. Munich
1930), Duckworth, W. L. H , Morphology and An-
thropology (and ed Cambridge, Eng. 1915), Fritsch,
Gustav, "Geographic und Anthropologie als Bundes-
genossen" in Gcsellschaft fur Erdkunde zu Berlin,
Verhandlungen, vol vm (Berlin 1881) 234-51, Stratz,
C. H , Naturgeschichte des Menschen (Stuttgart 1904),
and "Das Problem der Rassenemteilung der Mensch-
heit" m Archzvfur Anthropologie, vol xxix (1903-04)
189-200, Klaatsch, Hermann, "Die Aungnac-Rasse
und ihre Stellung im Stdinmbaum der Menschheit"
in Zettschnft fur Ethnologic, vol xln (1910) 513-77,
and Der Werdegang der Menschheit und die Entstehung
der Kultur, ed. by Adolf Heilborn (2nd ed. Berlin
1922), tr. by Joseph McCabe as The Evolution and
Progress of Mankind (London 1923) ch xiv, Eick-
stedt, Egon von, Rassenkunde und Rassengeschtchte der
Menschheit (Stuttgart 19331, Carus, C G , Ueber
ungleiche Befahigung der verschiedenen Menschheit-
stammefur hohere geistige Enttuickelung (Leipsic 1849);
Klemm, G. F., Allgemeine Cultur-Geschichte der
Menschheit, 10 vols. (Leipsic 1843-52) vol. i, p. 195-
205, Hankms, Frank II , The Racial Basis of Civiliza-
tion (New York 1926), Sirnar, Theophile, Etude cri-
tique sur la formation de la doitnne des races, Academic
Royale de Belgique, Classe des Lettrei. et des Sci-
ences . . . , M^moires, 2nd ser , vol x\i, pt 4 (Brussels
1922), Sergi, Giuseppe, L'uomo secondo le origim,
Vantichita, le vartazioni e la dtstribuziotie geografica
(Turin 1911), Martin, Rudolf, Lehrbuch der Anthro-
pologie in systematischer Darstellung, 3 vols (2nd ed.
Jena 1928), Quetelet, L A J , L'anthropometne
(Brussels 1871), Biometnka, ed. by Karl Pearson and
others, published irregularly in Cambridge, Eng.
since 1901, Retzius, Gustaf, and Furst, C. M , An-
thropologta suecica (Stockholm 1902), Livi, Ridolfo,
Anthropometria mthtare, 2 vols. (Rome 1896-1905),
Boas, Franz and H. M , "The Head-Forms of the
Italians as Influenced by Heredity and Environment"
in American Anthropologist, n s , vol. xv (1913) 163
88, Boas, Franz, "Notes on the Anthropology of
Sweden" in American Journal of Physical Anthro-
pology, vol i (1918) 415-26, Keith, Arthur, Ethnos;
or, the Problem of Race Considered from a Neiv Point
of View (London 1931), Gates, R Ruggles, Heredity
in Man (London 1929) ch xvi, Fischer, Eugen, "Die
Rassenunterschiede der Menschen" in Baur, Erwm,
Fischer, Eugen, and Lenz, Fritz, Menschliche Erbhch-
kettslehre und Rassenhygiene, 2 vols. (3rd ed. Munich
1927), vol. i tr. by Eden and Cedar Paul in their
Human Heredity (London 1931) sect ii, and "Ver-
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(New York 1911), and Anthropology and Modern Life
(new ed. New York 1932) chs. h-iii; Lowic, Robert
H., Culture and Ethnology (New York 1917) ch. 11.
RACE CONFLICT. Race conflicts are among
the most important factors of political and social
unrest in the contemporary world and their
significance increases as racial feeling grows in
emotional intensity. Historically such conflicts
had their origin in the migration of races and in
the conquest of territories already inhabited by
other races. Sociologists like Gumplowicz and
Oppenheimer hold that states were founded
upon conquest and migration and that in organ-
izing society the conquering race constituted
itself the ruling class, while the conquered were
relegated to servant status. Race therefore be-
came a factor of social superiority, and the
philosophers of the ruling race soon made it ap-
pear to be a factor of moral and intellectual
superiority and of political capacity. The mem-
bers of the ruling or conquering race, who had
all the opportunities for social and cultural de-
velopment which they denied to the members of
the conquered race, came to think of themselves
as alone capable, by nature or by the will of God,
of providing political and social leadership in the
interests of the lower races themselves. The
attempt to justify the vested interests of racial
exploitation in terms of a mythology of racial
superiority found its classical expression in
Aristotle. The sophists had taught that the
differences between free men and slaves were set
by human convention, that slavery had been es-
tablished by force and was therefore unjust.
Aristotle, on the contrary, maintained that the
differences between free men and slaves were
set by nature, that some races are destined to
mastery and others to slavery, involving a
burden for the master and a benefit for the
slave. In the Aristotelian view racial conflicts are
not historical or sociological phemonena but be-
long to an eternal order of God or nature: there
is no hope of changing racial inequality into
equality by patient educational and social work
or by revolution; race conflicts can be avoided
and a natural harmony arrived at only if the in-
ferior races accept the status imposed upon them
by eternal law. This school of thought regards
racial prejudice as a fundamental human in-
stinct.
Class differences have been explained in terms
of racial differences by such writers as Henri ae
Boulainvilliers, who conceived of the French
aristocracy as Franks, or Germans, who had sub-
dued the native French Gauls, or Celts: the
political, social and economic inequality of the
classes in France was thus justified by and
based upon irreparable racial inequality. Siey&s,
in his Qu'est-ce que le tiers ttat? (1789), ex-
plained the French Revolution as the effort of
the conquered race to expel the ancient con-
querors and thus to right a historical wrong by
restoring the third estate to the noble rank it had
held before the invasion of the Franks. Gobi-
neau, in his Essai sur Vintgaliti des races hu-
maines (4 vols., Paris 1853-55), ne ^ tnat tne
Germans, whom he identified not with con-
temporary Germans but with the French aristoc-
racy, were the supreme race and the initiators of
all human progress. Houston Stewart Chamber-
lain and his German followers have ascribed all
civilizations in the history of mankind to the in-
fluence of conquering German tribes and attrib-
uted the decay of those civilizations to the
Race Race Conflict
37
'ntermarriage of these tribes with the native
races. All civilization was considered the work of
an aristocratic elite which belonged to races
with creative faculties, while other races were
purely recreative or even destructive; the dom-
ination of the world by the creative elite was
therefore held to be in the interest of the back-
ward races and of humanity as a whole. The
colored races and the Jews were described as
outstanding examples of races with purely de-
structive and imitative capacities and thus unfit
for cultural work. With the ascent to power of
Hitler's government in Germany in 1933 this
theory became the official doctrine of the Ger-
man state and of German science; it has stirred
racial pride and prejudice to feverish heat and
has become an obstacle to a peaceful and
progressive solution of race conflicts
The suppressed races and classes have pointed
to the philosophy of equal rights in protest
against the theory of permanent race inequality.
Indeed the doctrine of human equality and of
the natural or divine rights of man, often de-
cried by the racialists as anaemic and purely
intellectualistic and which seems as deeply
rooted in man's mental make up as is the "we-
group" of the racialists, has repeatedly been
taken up by intellectual members of the ruling
races and has influenced their actions Alexander
the Great, who against the advice of Aristotle
treated Greeks and barbarians alike and had
them intermarry, introduced the age of Hellen-
ism; the Roman Empire gave the concept of
racial equality its political form with the broad-
ening of Roman citizenship; the Stoa formulated
its philosophy; early Christianity contributed its
religious fervor. Phil-anthropia and humamtas
became the regulating factors of human group
intercourse. The doctrine of equality and fra-
ternity was taken up in secularized form by the
age of rationalism and by the French Revolution
of 1789 and the Russian Revolution of 1917,
both of which had their deepest roots in the same
soil as primitive Christianity the messianic
hope that oppressed races and classes will
change the present order of society into one
granting equal rights for every human being and
thus, among other results, eliminate race con-
flict.
As long as the lower races accept their position
as natural or as ordained by God, as long as they
do not feel the humiliation and discomfort of
their status, race conflict is not acute. Official re-
ligions often help to prolong the established
order by preaching to the lower races the ne-
cessity of obedience and promising the consola
tion of a better world after life. Subject races in
their efforts to rationalize and justify their
misery may arrive at a theology or folklore which
embellishes their pauperized lives by attributing
some particular moral genius to it. They may ac-
cept the prestige of the superior race and may
try to imitate it; dominated by self-pity, they
may take over not only the rule but also the
standards and the tabus of the master race. But
in the theology with which they support their
misery there is almost always a messianic ele-
ment of hope, which under favorable circum-
stances may develop into self-consciousness and
the spirit of revolt. The submissive panah is in
good favor and is even sometimes patronized by
the master, but the pariah's claims arising out of
his ne\\ly won self-consciousness are actively
resisted. Any attempt at change provokes active
measures of suppression The powerful races,
fearing that they will lose their superior eco-
nomic and social position or be obliged to share
with the exploited, often have employed coer-
cive measures, which have merely increased the
militancy of rebellious races. Often oppressed
races are apt to become, after their liberation,
oppressing races, and to show in then turn
prejudices and insistence on privileges not un-
like those under which they themselves had
formerly suffered.
Racial contacts and therefore racial conflicts
became more general with the approach of the
age of imperialism. The tendencies of restless
growth and expansion inherent in industrialism
and capitalism soon led Europeans to seek raw
materials and new markets all over the world.
They brought with them the products and the
methods of a higher civilization, and the nature
of the ensuing conflict was determined by
whether the European conquerors met peoples
with a highly developed civilization and with
strong indigenous political organizations or
primitive tribes. In the first case, as illustrated
by China or India, the net result of the contact
may in the long run prove favorable to the na-
tives; in the second case, as m North America,
Australia and the Pacific islands, it has been
irreparably detrimental; in Africa, which occu-
pies an intermediate position in this respect, it
may ultimately strengthen the Negro race. In
any case the conflict of races created by the in-
vasion of a territory by a stronger or more ad-
vanced race has tended to intensify the struggle
for existence of the weaker race and to disorgan-
ize its culture and social structure. The nature
Encyclopaedia of fhe Social Sciences
of the race conflicts also has depended upon the
economic conditions and the cultural back-
ground of the conquering race. In North Amer-
ica, where the invaders were animated by an
intense race superiority complex, the Indians
were driven into the less habitable areas or were
exterminated, whereas in the plantation regions
of Latin America, where a more humane atti-
tude prevailed, the Spaniards allowed the In-
dians to remain on the land and forced them to
work for their new masters, thus preserving
their means of subsistence and allowing for
their slow adaptation to the superimposed civili-
zation. Generally the more warlike and the more
highly developed agricultural tribes have shown
the greatest power of survival in contact with
Europeans; governments have always treated the
militant tribes with much more favor than the
complaisant ones. In Africa, partly because of
climatic conditions, white settlement was much
more restricted than in America or Australia and
the Negroes have proved to be a stronger race.
But the slave trade, forced labor and imported
diseases, like syphilis, have led to depopulation
in many parts of Africa and have destroyed
Negro civilization and tribal structure. The
difficult adaptation to new conditions and to
forced labor brought about by the imperialist
penetration of Africa since the abolition of the
slave trade has not given Negro society oppor-
tunity to recuperate.
The period after the World War has been
marked by a world wide effort of oppressed or
backward races to change their status. The
awakening of the masses throughout the East,
the Bolshevik educational efforts on behalt of the
racial minorities, the activities of the Republican
regime in Spam, the agrarian unrest in south-
eastern Europe, the new spirit everywhere
among the Negroes, the revolts of the long
suffering Indians of Central and South America,
arc all movements involving dynamic change in
race relations. Liberalism in its original meaning
is spreading its influences over all parts of the
earth untouched by its victory in Europe in the
eighteenth and nineteenth centuries. The ra-
tionalist gospel of Europeamzation unites with
the Christian gospel of missionaries and the
socialist appeal of revolutionaries in creating 2
new self-consciousness among the oppressed or
backward races.
The major contemporary arenas of race con-
flict are now the Pacific regions, where the
white and the yellow races are struggling for
supremacy; the United States with its Negro
problem; and the Indies and Africa. As the
Negro race is the most numerous of all the back-
ward races and apparently the only one capable
of resistance and survival, the result of ita
struggle for emancipation will determine to a
large extent the future nature of race conflict and
race prejudice all over the earth. In India the
caste system has long been built upon racial dif-
ferences and conflicts and has been perpetuated
by religion. But only in recent times has the sys-
tem of capitalistic exploitation introduced by the
whites made race conflict a universal phe-
nomenon The migration of races, caused by
overpopulation and economic want and at-
tempts to escape from exploitation and persecu-
tion, has led to the further widening of the area
of conflict. The Indian migration to south and
east Africa led to typical race conflicts; Japanese
and Chinese immigration to the Pacific coast
of North America and to Australia provoked a
vehement outbieak of antagonisms and restric-
tive immigration laws. The policy of white
Australia based on the fear of competition may
be considered as part of a policy of compulsory
segregation on a world wide bcale Sometimes
immigration of backward races is promoted by
capitalists to obtain cheap or docile labor to
break strikes or to counteract trade unionism;
such importation of alien races, vehemently op-
posed by white labor, sharpens race conflicts and
sometimes leads to race riots.
The economic roots of race conflicts arc cer
tainly strong; but there is also an irrational ele-
ment, the belief in the superiority of chosen
races, which cannot be explained in economic
terms. Although, bound up in many ways with
economic consequences, race prejudice and
racial feelings prove more significant and more
persistent than economic considerations and at
times even operate counter to economic self-
interest. In the antisemitism of Hitlerism the
desire to dispossess Jews from positions coveted
by Aryans constitutes a very strong economic
motive, but other and stronger motives are also
involved. In the interests of their racial aims
men often override their class interests and vio-
late their class solidarity; this fact is regularly
manifested in the attitudes of workers of the
advanced races in areas where there is conflict
with backward races. The members of the white
race in the south of the United States feel their
racial supremacy threatened and have therefore
presented since 1860 a united front which has
surmounted all class and party distinctions and
has been bent upon maintaining race domina-
Race Conflict
39
tion. In South Africa all differences of nation-
ality or class among the whites recede quickly
and completely into the background when the
native problem is discussed. There all economic
measures are related to race conflict; the in-
ferior race is maintained in the status of an in-
ferior class, and therefore racial and class con-
flicts often coincide.
Class conflicts are aggravated when racial con-
flicts are involved by strong emotional resent-
ments, which tend to persist even after the ap-
parent cause has disappeared. Outwardly calm
racial relations may suddenly become trans-
formed into overt conflict, whereas changes
toward the better proceed slowly and the re-
membrance of past or supposed wrongs shows
astonishing powers of survival Race prejudice
and the desire of the stronger or more advanced
races to maintain their status debar the inferior,
or backward weaker, races from attaining equal
opportunities in the social and economic field.
The color line, which is to be found in varying
degrees wherever different races live side by
side, prevents the weaker races from realization
of a fuller life, cuts off from them all possibilities
of rising and makes both races permanently
conscious of their differences. In racial con-
flicts the individual plays no role; the most
friendly relations may exist between individuals
of different races, but the color bar acts always to
deter members of the lower race from the
struggle for higher qualification and efficiency.
Sooner or later it leads to a policy of racial segre-
gation designed to retard the progress of the
natives and to continue their exploitation.
At the root of race prejudice is an aversion to
strange appearances and ways of life which are
often held to be proof of inferior standards; such
attitudes are strengthened by the desire of the
dominating group to maintain its solidarity.
Intermarriage and social intercourse are legally
or tacitly prohibited, and the superior race
generally asserts its superiority by reserving all
economic advantages to its members. The con-
tact of races in different stages of agricultural
development has led, wherever conditions have
been conducive to the settlement of members of
the stronger race, to the concentration of the
best lands in their hands at the expense of the
natives, who are sometimes left without suf-
ficient good land to yield even a precarious
living. The native must then be content to be al-
lowed to work at a very low wage and under
most exacting conditions for the members of the
dominant race, who try to perpetuate their
power by depriving their inferiors of all political
rights.
Racial conflict leads to strong discrimination
against members of the weaker races in the
struggle for employment in industry and in the
professions. They are excluded from higher
paid positions and from skilled occupations with
which social prestige is connected. The workers
of the more progressive or powerful races often
exclude members of the underprivileged races
from the trade unions and bar them from ap-
prenticeship. The latter are forced to work at
lower wages and are therefore sometimes so-
licited by employers who can exploit them more
easily than the organized and better educated
workers. Excluded from the trade unions and
from the protection and possibilities which such
organizations offer, members of the oppressed
races often become strike breakers as the sole
means of entering certain occupations. During
the steel strike in the United States in 1919
many Negroes obtained responsible and highly
skilled positions and carried out their tasks with
efficiency, but when the strike ended they were
largely replaced by white workers. Although the
exclusion of the oppressed races from the trade
unions ultimately works to the detriment of the
privileged workers, race prejudice has been
stronger than economic interest. This policy of
exclusion tends to maintain and to perpetuate
the differences in the standard of living, in the
scale of wages and in the training of the two
races; it widens the gulf between them and em-
bitters their relationships. Workers of different
races receive unequal pay for equal work and
are employed under diverse working conditions,
members of the underprivileged races being
obliged to accept the dirtiest, most dangerous
and most difficult jobs. The prestige of the
dominant race is strengthened by better housing
conditions, while debased standards of living
arc often forced upon the suppressed races.
Thus the races are kept distinctly apart and can-
not arrive at the degree of mutual esteem and
self-esteem necessary for the establishment of
friendly relations The cleavage is aggravated by
the fact that faults of individual members tend
to be ascribed to the entire race and repressive
measures affect not only the guilty or suspected
but the whole group.
Race conflicts lead easily to race riots; either
the despair of the backward race finds no outlet
other than desperate resort to violence or the
dominant race resents the efforts toward eman-
cipation of the backward race and avenges any
Encyclopaedia of the Social Sciences
4
act of revolt. The hostile and brutal atmosphere
of race riots and of lynching (q v.) is not con-
fined to a few cases of violence but is the basis
of the unequal treatment before the law meted
out to the different races. Not only are judges
and courts dominated by passion, but there are
varying standards of judgment and punishment
for the different races; the judiciary is often
composed entirely of members of the ruling
races and offenses are punished according to the
race of the defendant and of the plaintiff. Racial
inequality is thus conducive not only to the de-
struction of democracy and liberty but also to
the undermining of justice and law.
In many countries there is a tendency to
minimize the importance of racial conflict in the
interests of the ruling races and frequently there
is hypocrisy about the benefits accruing to the
backward races by their cohabitation with more
progressive races. While a semblance of tran-
quillity can be maintained by armed superiority
the problem is ignored. But with the growing
world wide insurgence among the backward
races and with their more articulate expression
of resentment the policy of drift becomes im-
possible. Then, often under the cloak of humam-
tarianism or science, a policy of repression by
compulsory racial segregation is frequently un-
dertaken. Racial integrity is protected by laws
forbidding interracial marriages; benefits derived
from government are reserved for the dominant
races; participation in government is denied to
the oppressed races, who are discriminated
against in all phases of social life and receive not
only different but definitely infenor education
and living quarters and a disproportionately
small share in public services.
On the other hand, the awakening of under-
privileged races is stimulated by the equalitarian
and humanitarian policies of the Soviet Union,
where a determined stand has been taken against
race discrimination. The rational belief in the
complete equality of all races has become the of-
ficial creed, and energetic educational efforts are
being made to raise the social and economic con-
ditions of the underprivileged races. Whereas in
many parts of the world ruling classes or imperi-
alist governments instigate or refrain from sup-
pressing race conflict for reasons of hegemony or
exploitation, communism helps to organize
backward races in their struggle for political and
economic advancement and liberation. This
assistance contrasts with the attitude of many
white labor and socialist groups among whom
race interests are stronger than class interests.
The help given to backward races by com-
munists emanates not only from their identifica-
tion of racial and class conflicts and from an
alliance against the capitalist and imperialist
powers but also from the fundamental policy
against race discrimination within the Soviet
Union. Bolshevism continues, in a rationalized
and secularized form, the stand of primitive
Christianity against race discrimination; but the
equalitarian Soviet theory goes farther than
most Christian agencies in tackling not only the
psychological and emotional causes of race con-
flicts but also their economic roots. The Soviet
Union now is the only large area inhabited by
many races, free, as far as governmental agen-
cies are concerned, of any form of race prejudice.
The growing acuteness of race conflict has
recently attracted the attention of religious and
humanitarian bodies. Islam in theory as in
practise has never known a color bar, which
largely explains the appeal it has exercised
among African races; but Christianity has not
as a rule lived up to its precept of the brother-
hood of man. Of late, however, Christian and
humanitarian bodies have begun to recognize
the necessity of a definite stand on the race
question. The conference of the International
Missionary Council in Jerusalem, for example,
declared in 1928 that "any discrimination
against human beings on the ground of race or
colour, any selfish exploitation and any oppres-
sion of man by man is a denial of the teaching of
Jesus." The Commission on Inter-racial Co-
operation, founded 1918 in Atlanta, Georgia;
the American Interracial Peace Committee, es-
tablished 1926 with headquarters in Phila-
delphia; the Commission on the Church and
Race Relations of the Federal Council of
Churches of Christ in America, are just be-
ginning to explore the field of peaceful race re-
lations. Christian missions in Africa and Asia,
often in the face of opposition on the part of
white settlers and colonial governments, have
imbued the natives with a spirit of self-con-
sciousness and individual human dignity, have
helped to develop leadership among the back-
ward races and to train natives in different
branches of social and economic activity.
A peaceful solution of racial conflicts de-
mands equal opportunities for all races in all
occupations and professions and equal rights in
the exercise of citizenship. It cannot be attained
without vastly increased facilities for the back-
ward races in education, in capital equipment
and in the development of resources in their
Race Conflict Race Mixture
interest. Racial relations today present more
dangerous features in the field of interhuman
relations than any other point of conflict No-
where are mob passions, prejudices and fears so
easy to evoke and so difficult to check. If they
are to be prevented from crystallizing into cus-
tom and sometimes even into law, there must
be a conscious and persistent effort by all re-
ligious and rational forces which subscribe to the
idea of equality of men and of races Unless
decisive changes are made in the attitudes and
practises of dominant toward backward races
and such changes are not now in prospect out-
side of the Soviet Union wars and revolts must
inevitably result.
HANS KOHN
See. RACE; NEGRO PROULFM; INDIAN QUESTION, AN-
TiscMirisM, ARYANS, MINORITIIS, NATIONAL, Ai IENJ,
CASTE, SIAIUS, SOCIAL DISCRIMIN \TION, ASSIMILA-
TION, SOCIAL, SEGRLGAFION, ETHNOCENTRISM, ETHNIC
COMMUNITIES, MISCEGENATION, RACE Mixn RE, Mi-
GRAIIONS, IMMIGRAIION, 'ORitNiAL IMMIGRMION,
MASS EXPULSION, DKPORIAIION AND EXPIISION OK
ALIENS, EUROPE ANIZAHON, IMPERIALISM, CoNgLLSi,
NATIONALISM, PAN-ISLAMISM, PAN-MOVLMINT&, NA-
TIVE POLICY, SIAVFRY, PEONAGE, EQUXLIIY; IN-
TOLERANCE, PERSECUTION, LYNCHING
Consult Muntz, Earl E , Race Contact (New York
1927), Bryce, James, The Relations nj tlie Advanced
and the Backivard Rates of Mankind (Oxford 1902),
Boas, Franz, The Mind of Pnnntn c Man (New \ ork
1911 ), and Anthropology and Modern Lift (new ed. New
York 1932), Meckhn, J M , Demon ai\ and Race Frit -
lion (New York 1914), Royce, Josiah, Rate Qiu-itions,
Provincialism, and Other Amtncan Problems (New
York 1908), Gumplowicz, Lud\ug, Der Raswnkampf
(2nd ed Innsbruck 1909); Opoenheimer, Fran/, Der
Stact (3rd ed Jena 1929), ti. by John M Gitterman
(Indianapolis 1914), Fmot, Jean, J.c pn-jiigc dts raits
(2nd ed. Paris 1905), tr. by Morencc Wade-Evans,
(London 1906), Lewmson, Paul, Race, Class and
Party (Ix>ndon 1932), Miller, II. A , Rate*, Natiom
and Classes (Philadelphia 1924), and The Beginnings of
Tomorrow (New York 1933), Papers on Inlet -rental
Problems, ed by G Spiller (London 1911), Spccr,
Robert E., Race and Race Relations (New York 1924),
Pitt- Rivers, G M , The Clash of Culture and the Con-
tact of Races (lx>ndon 1927), Hert?, Fnednch O ,
Rasse and Kultur (3rd ed Leipsic 1925), tr by A. S.
Levetus and W. Entz (London 1928), Michels, Ro-
berto, "Wirtschaft und Rasse" in Grundrit* tier
Sozialokonomik, pt. n, vol. i (and ed. Tubingen 1923)
p. 97-102; Hankins, F. II , The Racial Basis of Cinh-
zation (rev ed New York 1931), Goldstein, Julius,
Rasse undPohtik (4th ed Leipsie 1925), Kohn, Hans,
Orient and Occident (New York 1934), and Der Na-
tionalismus in der Sotvjetumon (Franktort 1932), tr. by
E. W. Dickes (London 1933), Oldham, J. II , Chris-
tianity and the Race Problem (New York 1924), Inter-
national Missionary Council, The Jerusalem Meeting of
the International Missionary Council, March 24- April
8 t 1028, 8 vols. (New York 1928) vol. iv; Vignon,
Louis V , Un programme de politique coloniale; les
questions indigenes (4th ed Pans 1919), Chollet, C ,
Probl ernes de races et de cmileurs (Pans 1929"), Gil
Fortoul, Josd, El hombre y la histona (Madrid I9i6 ? ),
Gulick, Sidney L., American Democracy and Asiatic
Cittsemhip (New York 1918), Sterner, Jesse F., The
Japanese Invasion, a Study in the Psychology of Inter-
racial Conflicts (Chicago 1917), Feldman, Herman,
Racial Factors in American Industry (New York 1931);
Olrvicr, Sydney, White Capital and Coloured Labour
(new ed London 1929), Lasker, Bruno, Race Attitudes
in Children (New York 1929), Bogardus, Emory S ,
Immigration and Race Attitudes (Boston 1928), John-
son, Charles S , The Negro in American Civilization
(New York 1930), Du Bois, W E B , The Negro
(New York 1915), Chicago Commission on Race Re-
lations, The Negro in Chicago (Chicago 1922), United
States, Congress, Senate, Committee on Indian Af-
fairs, Survey of Conditions of the Indians in the
United States, Hearings, 7oth Cong , 2nd sess 72nd
Cong , 1st sess , pts i-xxvi (1929-32), Woofter,
Thomas J , Jr , The Basis of Racial Adjustment (Bos-
ton 1925).
RACE MIXTURE. The hybrid character of
present day human physical types is the result
of a process of racial crossing \\hich has con-
tinued for countless generations. With the
possible exception of a few highly inbred groups
of an originally homogeneous stock whose mem-
bers, because of geographical isolation, have had
no contact with outsiders, there are no human
beings whose genetic composition is such as to
^ fulfil the requirements of the biological concept
of the pure strain. This conclusion is not only
supported by the testimony of historic fact
where available, but is also to be inferred from
the degree of variation which marks most existing
populations, and \\hich indicates that sexual at-
traction is no respecter of racial lines, that where
any tuo human groups meet, crossbreeding
results even where the most rigorous social
restrictions are imposed
Human hybridization is thus universal; cer-
tain populations, however, represent crossing to
a greater degree and between more divergent
types than others Examples of these extremecases
of race mixture have been studied in the Boer-
Hottentot crosses of South Africa, the Indian-
Spanish mixtures of Yucatan, the Indonesian-
European mestizos of Kisar, the Polynesian-
Chinese-European hybrids of Hawaii, the off-
spring of Indian-north European matings in the
United States, and the Nepro- white- Indian
crosses of the islands of the Caribbean Sea and
of North America. In recent years, these have
been made the subjects of special investigation
by those concerned with the problems, both
scientific and practical, involved in the study
Encyclopaedia of the Social Sciences
42
of human biology and of the relation between
human physical type, intellectual capability and
cultural behavior.
It is logical that these mixed populations
should have been made the subject of special
study, for although the investigation of problems
concerning human beings ideally demands a
methodological rigidity attainable only under
laboratory control, it is only in such racially
mixed groups that approximations of the labora-
tory situation are to be found. Where the racial
derivation of the ancestral stocks is a known
quantity, it is possible to study the parental
types, if not the individual ancestors, of the
mixed breeds; by means of recorded genealogies,
where these are available, or of genealogical
statements given by the persons studied, where
records of matmgs cannot be had, it is possible
to determine to some extent the ancestral racial
composition of the several members of the
mixed group.
Practically every investigation of a racially
mixed population which has been made during
the present century has been focused on the
question of the extent to which Mendelian ratios
a r e discernible in human mixed offspring, a
question which, because of the small size of hu-
man families, turns largely on the matter of the
comparative variability of the traits measured.
If simple Mendelian heredity determines the
physical characteristics of crosses, then the
variability of a mixed population, in those traits
where the parent stocks differ from each other
to a significant degree, must exceed that of
either of the parental types. The available evi-
dence is far from clear in indicating whether or
not this increased variability marks the hybrid
groups which have been subjected to study.
Fischer's classic analysis of the Rehoboth Bas-
tards (Dutch- Hottentot crosses) shows that the
population had achieved a relatively great degree
of homogeneity through inbreeding several
generations after the initial crossing had oc-
curred, although the numbers of cases were not
large enough to make these results of as great
significance as other phases of this work. Daven-
port and Steggerda, whose investigation of
Jamaican Negro-white crosses contradicts those
findings, also draw conclusions after studying a
number of individuals which is too small to
allow much weight to be attached to the results.
Williams, who measured larger numbers of
Spanish-Maya crosses in Yucatan, found rela-
tively low variability, and these findings are
comparable to those of Herskovite for Negro-
white hybrids, where several thousand indi-
viduals were studied Shapiro's investigation of
the limited number of white-Polynesian crosses
in Pitcairn Island also fails to show any impres-
sive increase in variation when the mixed bloods
are compared to the parental stocks. Neither
Sullivan's study of Sioux- white crosses, Roden-
waldt's measurements of the mestizos of Kisar,
nor Dunn's analysis of mixed Hawaiians answers
this question decisively.
As a result there has been in recent years a
revaluation of hypotheses concerning the im-
portance of homogeneity as an index of racial
purity. Since it was assumed that a hybrid popu-
lation must exhibit greater variation in physical
traits than its parental types, it followed that low
variability was an index of racial purity. How-
ever, the studies of racially mixed types have
forced the conclusion that, given an initial
mixture and consequent inbreeding, there is an
intensification of the resulting hybrid traits and
the formation of a new homogeneous type. This
is what has apparently occurred in numerous
regions; m a large percentage of traits measured
it has been substantiated in the case of the
Negro-vvhite-lndian crosses of the United
States, the Bastards of South Africa, the Maya-
Spanish crosses of Yucatan, the city popula-
tions of Italy and the mestizos of Kisar. In
the case of the first group, who have been the
most carefully investigated from this point of
view, it has been seen that in comparing the
variability of samples taken at random from the
white and Negro populations of the United
States, it is the Negroes who, in a majority of
traits, show the greater homogeneity. This was
shown in studies made by Todd and Lindala,
by Davenport and Love (measurements of army
Negroes and whites) and by Herskovits. Fur-
ther, the study of these American Negroes har
indicated that the mean values of the traits
measured he between the means of those north
European and west African ancestral popula-
tions for which comparative data are available.
Thus the investigation of the physical charac-
teristics of racially crossed groups indicates a
process by means of which the present day
"pure" races may have attained their homo-
geneity after an original cross or series of
crosses.
Whether crossed types are better or worse
than pure bloods is another moot question. The
concepts of "harmonic" and "disharmonic"
crosses have been applied to those individuals
where the crossing has resulted happily or un-
Race Mixture Rachel
43
happily; the difficulty in the use of words bear-
ing evaluative connotations such as these lies m
the definitions behind them. As far as has been
ascertained, there are no crosses between human
groups which carry lethal determinants for the
offspring. It is maintained, however, that de-
creased efficiency results from crossing; that
there is a period where "hybrid vigor" is to be
seen, perhaps in one or two generations after the
original cross, after which debility sets m; that
fertility is lost as a result of racial mixture; that
internal disorganization comes to the hybrid in
consequence of the inheritance of mutually
incompatible traits. Neither these claims nor
their opposites have been satisfactorily estab-
lished by objective investigation; furthermore
the same assertions may be matched by similar
statements applied to inbred populations of
"pure" racial stock. Whether or not there is
hybrid vigor in man is still debatable, although
Boas' pioneer study seemed to show its presence in
the case of the stature and fertility of 1 ndian-\\ hite
crosses. That there is no loss of fertility, at least
in the offspring of a Boer- Hottentot hybrid, has
been amply demonstrated by Fischer's average
of 7.7 children per family in the fifth generation
after the original cross.
No greater unanimity of opinion exists re-
garding the psychological and social results of
racial mixture. Although some disagree, the ma-
jority of those who have studied the social and
psychic traits of mixed bloods hold that the un-
desirability of crossing cannot be substantiated
by objective proof. There is no reason to suppose
that such deficiencies as are seen in some hybrid
populations cannot be referred to the social
situation in which these people are found, es-
pecially since there are as many successful hy-
brid groups as there are those held to be de-
ficient. Psychologists, such as Garth and Kline-
berg, maintain that studies made of racially
crossed folk have failed to show lack of intellec-
tual capability on their part, while sociologists,
of whom Young may be cited as an example,
find that it is more satisfactory to regard the
social behavior of hybrid populations as re-
flections of their cultural milieu than to refer the
matter to biological causes.
MELVILLE J. HF.RSKOVITS
See: RACE; MISCEGENATION; INTERMARRIAGE, CON-
CUBINAGE; AMALGAMATION; HKREPITY, EUGKNICS,
MIGRATIONS; ISOLATION; RACE CONFLICT.
Uonsult: Fischer, Eugen, Dtc Rehobother Bastards und
das Bastardierungsproblem beim Menschen (Jena 1913);
Davenport, C. B., and Steggerda, Morns, Race Cross-
ing in Jamaica, Carnegie Institution of Washington,
Publication no 395 (Washington 1929), Williams,
G D , Maya-Spanish Crosses in Yucatan, Harvard
University, Peahody Museum of American Archae-
ology and Ethnology, Papers, vol xui, no i (Cam-
bridge, Mass 1931), Herskovits, M J , The Anthro-
pometry of the American Negro, Columbia University,
Contributions to Anthropology, vol. xi (New York
1930), and "Variability and Racial Mixture" m The
American Naturalist, vol Ixi (1927) 68-8 1, Shapiro,
H. L , Descendants of tiie Mutineer? of tlie Bounty,
Bernice P. Bishop Museum, Memoirs, vol. xi (Hono-
lulu 1929) no I, Sullivan, L R , Anthropometry of
the Siouan Tribes, American Museum of Natural
History, Anthropological Papers, vol xxm (New York
19*9) pt. 3, Rodenvvaldt, Ernst, Die Mestizen auf
Kisar, 2 vols (Batavia 1927), Dunn, L C , An An-
thropometnc Study of Hauanans of Pure and Mixed
Blood, Harvard University, Peabody Museum of
American Archaeology and Ethnology, Papers, vol.
M, no 3 (Cambridge, Mass 1928), Todd, T. W., and
Lmdala, Anna, "Dimensions of the Body; Whites
and American Negroes of Both Sexes" m American
Journal of Physical Anthropology, vol xu (1928) 35-
19, Davenport, C B , and Damclson, F H , Heredity
f Skin Color in Negro-White Crosses, Carnegie Insti-
ution of Washington, Publication no. 188 (Washing-
on 1913), Barnes, Irene, "The Inheritance of Pig-
nentation in the American Negro" in Human Biology,
ol i (1929) 321-81, Wagner, K, "The Variability
of Hybrid Populations" in American Journal of Physi-
cal Antlnopoloqy, vol. xvi (1932) 283-307, Boas,
Fran/c, "The Half-Blood Indian, an Anthropometric
Study" in Popular Science Monthly, vol xlv (1894)
761-70, Khneberg, Otto, An E\peumental Study of
Speed and Other Factor* in "Racial" Differences,
Archives of Psychology, no 93 (New York 1928);
Garth, T. R , Race Psychology (New York 1931);
Peterson, Joseph, The Comparative Abilities of White
and Negro Children, Comparativ e Psychology Mono-
graphs, vol i, ser no. 5 (Baltimore 1923), Hankms,
F. II , The Racial Basis of Civilization (New York
1926), Hooton, E. A., Up From the Ape (New York
1931) p. 583-91; Gates, R. R., Heredity in Man
(London 1929), Young, D. R., American Minority
Peoples (New York 1932).
RACE PREJUDICE. See RACE CONFLICT.
RACHEL, SAMUEL (1628-91), German ju-
rist. Rachel, who was a native of Schleswig-
Holstein, studied at the universities of Rostock,
Jena and Leipsic and later at Helmstedt, where
he became professor of moral philosophy in
1658. When the University of Kiel was founded
in 1665 he was appointed to its chair of natu
law and of international law. After 1678 Rach<
became active in politics and diplomacy. I
served as a councilor of Duke Christian Albrecht
of Schleswig-Holstein-Gottorp, in whose service
he remained until his death; he was the duke's
ambassador at the peace negotiations of Nij-
megen.
Encyclopaedia of the Social Sciences
44
During Rachel's lifetime there was a con-
scious trend in Germany away from scholastic-
Romanistic training toward scientific legal study,
which concentrated especially upon natural law
and Germanic elements. Aristotelian moral phi-
losophy was the basis of Rachel's philosophic
ideas and of his fundamental conception of
natural law, while the latter dominated his the-
ories of civil and criminal law, as it did those of
Grotius, Pufendorf and Connng. In interna-
tional law, however, Rachel showed a decidedly
original approach. In the formative period of
international law he was the first prominent
protagonist of a positivistic attitude, in con-
scious opposition to Pufendorf, who had sub-
merged the law of nations in natural law. Rachel
stated his position in De jure naturae et gentium
dissertationes (Kiel 1676). Jus gentium, he held,
is a system of law independent of jus naturae
and is based only upon agreements express or
implied. Its rules arc either general, those which
are accepted by most civilized nations, or par-
ticular, those which have been established by
treaty among a limited group of nations.
Rachel endeavored to free his system of
international law from theological, moralistic
principles and to introduce utilitarian ideas. His
theory of customary and conventional interna-
tional law substituted the inductive for Pufen-
dorf's deductive method. He realized that the
principles of international law are arrived at
experimentally and that they may contradict the
rules based upon speculative reasoning. He con-
sidered the principles of natural law as models
for international law, without, however, ac-
knowledging the norms of the former to be the
norms of jus gentium.
Rachel was the first to establish the signifi-
cance of international law as a separate science
and to stress clearly its legally binding character.
Moreover he formulated decisively the principle
that not only subjective but also objective law
may arise from the contents of treaties. He
stands out as the precursor of the eighteenth and
nineteenth century positivist movement in inter-
national law.
CURT RUHLAND
Consult. Ruhland, Curt, "Samuel Rachel, der Bahn-
brecher des volkerrechtlichen Positivismus" in Nie-
meyers Zeitschnft fur Internationales Recht, vol. xxxiv
(1925) 1-112; Bar, L. von, "Introduction" to Rachel's
De jure naturae et gentium dissertationes, vol. n, tr. by
J. P. Bates, 2 vols. (Washington 1916) vol. a, p. 73
i6a; Stintzing, R. von, and Landsberg, E., Geschichte
der deutschen Rechtstvissenschaft, 3 vols. (Munich
1880-1910) vol. in, pt. i, p. 37-39.
RACHFAHL, FELIX (1867-1925), German
historian. Rachfahl was born in Silesia, studied
at Breslau and Berlin under Roepell, Caro, Lenz
and Schmoller and taught at the universities of
Halle, Konigsberg, Giessen, Kiel and Freiburg.
A meticulous and profound scholar, he was ex-
traordinarily versatile, excelling particularly in
critical research and polemic. He began his work
in the fields of constitutional, economic and
administrative history with Die Organisation der
Gesamtstaatsverwaltung Schlesiens vor dem dreis-
sigjahren Kriege (Staats- und socialwissenschaft-
liche Forschungen, vol xiii, pt. ii, Leipsic 1894).
His "Der dualistische Standestaat in Deutsch-
land" (in Schmollers Jahrbuch, vol. xxvi, 1902,
p. 1063-1117) and his writings on the begin-
nings of modern administrative organization in
Burgundy, the Netherlands and Austria and on
the Prussian-German question during the nine-
teenth century have served as a strong stimulus
to German historical writing. Rachfahl was
keenly interested likewise in the theoretical and
philosophical problems of historiography. Un-
der the influence of Max Lenz and the historical
writings of Ranke he took an active part in the
polemic against the theories and practises of
Karl Lamprecht and in his later years against
the newer sociological tendencies. He had a pro-
found antipathy to all categories and concepts
which were not empirically grounded. In his
Staat, Gesellschaft, Kultur und Geschichte (Jena
1924) he proclaimed the dictum: "not political
or social and cultural history but rather social
and cultural history embraced within the higher
unity of the history of the state." Rachfahl's
most important work dealt with the age of the
Reformation and Counter- Reformation. His
Wilhelm von Oranien und der mederlandische Auf-
stand (3 vols., Halle 1906-24), which unfortu-
nately remained unfinished, is a most compre-
hensive and objective presentation of the period,
unencumbered by ecclesiastical or confessional
ties. Born a Catholic, he nevertheless maintained
complete objective impartiality. He considered
William of Orange the first prominent and suc-
cessful apostle of the idea of religious toleration
among European statesmen. Among his works
on the nineteenth century the most important is
Deutschland, Konig Friedrich Wilhelm iv und die
Berliner M arzrevolution (Halle 1901), which oc-
casioned much critical discussion. He published
numerous essays on the Bismarckian era, took
issue with Max Weber's thesis on the origins of
modern capitalism, and with his Deutschland und
die Weltpolitik first volume, Die bismark'sche
Rachel Racketeering
Aera (Stuttgart 1923) which remained unfin-
ished at his death, he was one of the first his-
torians to start work on the collection of Ger-
man documents published after the World War.
HERMANN ONCKEN
Consult: Rachfahl, F., Autobiography in Die Ge-
schichtstvissenschaft der Gegenwart in Selbstdarstellun-
gen, vol. n (Leipsic 1926) ch. vn, Oncken, H , "Felix
Rachfahl; em Nachruf" m Archivfur Politik und Ge-
schichte, vol. iv (1925) 579-85, Meyer, A O., in
Gesellschaft fur Schleswig-Holstemische Geschichte,
Zeitschnft, vol Iv (1926) i-xvm, Below, G. von, in
Schlensche Lebembtlder, vol. 11 (Breslau 1926).
RACKETEERING, a term loosely applied to a
variety of criminal schemes, has not yet received
exact legal definition. It usually designates, how-
ever, the activity for profit (in connection with
the sale of goods and services) of an organized
group which relies upon physical violence or an
illegal use of group pressure to accomplish its
end. It thus applies to the operation of an illegal
business as well as to the illegal operation of a
legal business. It cannot be confined to extor-
tions in business alone, for it includes the use of
violence to enforce the rules of illegal activities,
such as distribution of narcotics and prostitu-
tion. In common parlance also the term is often
applied broadly to organized crime or to any
easy way of making money.
The word gained currency in the early 1920*8,
but its origin remains obscure. The first instance
of its use has been ascribed to "Big Tim"
Murphy of Chicago. Another theory holds that
the term was first employed about 1885; two
Chicagoans had organized a teamsters' union in
New York and an official investigating it is sup-
posed to have said, "This is not a noise but a
racket." According to a third theory, racket has
entered the modern vocabulary by way of the
vaudeville stage, where it means the type of
entertainment in which a performer specializes,
and hence a special method, generally an easy
one, of getting along in the world. There is still
another explanation, which is perhaps the most
plausible. The word racket has long been used
to describe a loud noise and hence a spree or
party or "good time." In the 1890*5 social clubs
of young men in New York City, under the
auspices of political leaders, gave affairs called
rackets; since among their number there were
members of neighborhood gangs, it was found
easy to coerce local tradesmen to buy tickets.
Local gangsters soon improved upon the idea
and formed "associations" for the sole purpose
of selling tickets in this manner.
45
The practise of extortion by officials and pri-
vate citizens has been recorded m many civili-
zations, although perhaps it was never as well
organized as it is under modern condition?
Whenever evidence of organized extortion .s
found, historical analogy exists. Pertinent in-
stances are the practises of the Greek sycophants
and the Roman delators, who, in systems where
a private citizen could prosecute for crime, ex-
torted money from guilty and innocent alike
under pain of exposure (see EXTORTION). The
Rhine and Danube barons in mediaeval times,
the Barbary pirates, the African and Asian chief-
tains who preyed upon caravans, the Scotch and
English outlaws described in the Waverley nov-
els, the Mafia in the agricultural regions of
Sicily all were virtually racketeers The levying
of periodic tribute against their own depreda
tions marks their status.
Coercion and insistence upon cuts in profits
through threats of violence were fully estab-
lished in the late nineteenth century, as indi-
cated by the practise of "protecting'' small store-
keepers and peddlers from visitation by the gang
itself Gambling houses and brothels were long
subject to extortion by gang leaders, and many
murders were traced to disputes over an un-
earned cut in stuss and other games of chance
The business racket was known early in the
century; a study in Chicago in 1904 indicated
several rackets in the trucking and clothing in-
dustries and during the incumbency of Mayor
Mitchel in New York rackets in the foodstuffs,
building and clothing industries were exposed.
But it was not until the close of the World War
and the beginning of national prohibition that
the rackets, as they are now known, became
widespread.
The racket pattern is not the same in all
industries. The simplest type is that in which
a monopoly is set up by the racketeers with no
other aid than protection by politicians. Illus-
tration is found in rackets in some perishable
foodstuffs, where the technique is to coerce re-
tailers through suggestion or ready example of
violence to cease buying from the wholesalers
and to buy from a new and unnecessary middle-
man the racketeer himself. In this type of
racket the numbers are few and the investment
small, as credit is easily obtained from the whole-
salers.
Almost as simple a type of racket is found in
the direct association racket, where tradesmen
in a market or neighborhood are given "protec-
tion" against violence to person and property in
46
Encyclopaedia of the Social Sciences
return for the payment of "dues" to an "asso-
ciation" organized by the racket. Failure to pay
dues results in visitation by a henchman of the
rejected "protector." The more complex the
industry, the more intricate is the association
racket, functioning through collusive agreements
between business men, racketeers and labor
leaders. In such rackets the primary object is
usually price fixing and the elimination of under-
cutting; the racketeer is initially called in to
enforce the sanctions which under the antitrust
laws the association itself could not lawfully
assert. The tradesman who refuses to join finds
not only that he is subjected to physical violence
but that his laborers are "pulled" from the job
or assaulted, the movement of his wares is
stopped and often his offers to buy goods are
rejected, as explicit testimony in New York and
Chicago has shown. In some industries the col-
lusive agreements are detailed and ingenious,
involving the cooperation of a number of labor
leaders and of both wholesalers and retailers;
the associations have boards of directors, sys-
tems of fines and carefully formulated rules.
Certain of the labor rackets are not operated
as part of an association, but the prime movers
are the labor leaders themselves. Violence in
unions is not new; at times as a matter of self-
preservation it has been essential in the struggle
of labor for survival, particularly where labor
has been rendered powerless by sweeping in-
junctions. Since the use of force by both sides
at the time of the famous Molly Maguires in the
post-Civil War period the resort to violence in
labor disputes has resulted in the hiring of pro-
fessional gangsters by both employers and
unions.
Strictly speaking, this is gangsterism rather
than racketeering; on the other hand, the "shake-
down" racket developed by some labor delegates
comes close to official extortion. Money pay-
ments are demanded and received on threat of
pulling jobs for fancied minor grievances or of
"breaking" new unions struggling for a foothold
or of sending back to work, in breach of trust,
men who have legitimate cause to strike or of
permitting organized laborers to work at a lower
wage scale. From the laborers a "kickback" is
exacted for the privilege of working, and con-
tumacy is met with fine and suspension. Some
delegates have working arrangements with com-
panies selling construction machines or mate-
rials, resorting to sabotage and strikes to combat
sales resistance; at times the delegate himself is
a, contractor ^MI- the side. In order to insure iron
control over the union democratic processes are
destroyed. Sluggers are brought into the union
to keep elections from getting out of hand; soon
local elections are abolished and a supervisor
responsible only to the international president is
appointed. Not all such appointments are to
foster corruption, but the method is adaptable
to such a purpose. Union funds dwindle away
on "swindle sheets" which record their payment
merely for "the good of the local."
The technique of enforcement in racketeering
is familiar personal violence including murder,
destruction of goods and premises, kidnaping,
bombings and incendiary fires. The methods
employed by the Black Hand have been accepted
and modernized. The use of bombs is alarm-
ingly great; according to one estimate, in Chi-
cago from the period from January i, 1928, to
October i, 1932, 500 bombs had been planted,
resulting in more than $1,000,000 damage. By
underworld gossip there are set scales of fees for
bombing; the Illinois Crime Survey in 1929
reported an interlocking system for bombing in
different fields and in the case of one bombing
crew in Chicago the fees were actually revealed.
Although gangs are employed for special acts
of violence, including professional killings, the
racket itself must be distinguished from the old
fashioned gang. Even the terminology of the
underworld makes the distinction: a group of
racketeers is called a mob rather than a gang.
The older racketeers were in many instances
former members of old neighborhood gangs.
But the earlier gangs were much larger than the
mob; some of the famous neighborhood gangs
of New York and Chicago mustered hundreds
and even thousands of adherents. The modern
racket is generally smaller for a number of
reasons. Since it exerts pressure where resistance
is weakest, it does not need mass demonstration
of strength: its power is not often challenged.
The code does not require that a victim be met
face to face, any more than a legally condemned
prisoner is expected to seek vindication by ordeal
of battle; there is greater safety from the police
in smaller and more trusted numbers. An excep-
tion of a limited kind applies to the beer and
liquor rackets. In these the syndicate managers
and "front men" have been comparatively few
but the employees of the racket, if truck drivers^ ,
brewers and salesmen are included, are many*,
In some of the rackets there are hangers on
who render important service without sharing in
management.
The modern racket as distinguished from th*
gang is scarcely a neighborhood affair, for the
territories covered are much larger; and with
few exceptions (notably in specialized rackets)
the members of the racket do not seem to be
racially homogeneous. In the type of racket,
'however, which preys largely upon businesses
owned by a particular ethnic group, the rack-
eteers are themselves almost exclusively of the
same group. Examples are found in certain fresh
vegetable rackets which prey largely upon Ital-
ians, in the kosher poultry racket directed against
Jews and also in certain labor rackets aimed pri-
marily at Irishmen.
The focal points of racketeering are the larger
cities, where its interstitial growth is easiest.
Chicago and New York City have held the lime-
light, but rackets are operated in other large
cities as well. Detroit and Kansas City and
Cleveland with its lugubrious "funeral racket"
have been exposed as racketeering centers. The
farmer too is often a victim of the racketeering,
for his goods pay tribute as they come into the
city. "Legs" Diamond, for example, operated a
beer racket in a rural county of New York and
in his sales arguments included some of the
more refined forms of torture.
The general inactivity of police and prose-
cutors in the face of racketeering is unquestion-
ably related to connections between politics and
the underworld, although some part of the
breakdown may be laid to inefficiency. The dif-
ficulties confronting honest and efficient law
enforcement officers cannot be overlooked, for
extortion is more difficult to prove than holdup,
and witnesses are reluctant to testify because of
fear, satisfaction with the racket or lack of con-
fidence in police and district attorney; in order
to secure convictions of racket leaders great
energy and a persistent use of the John Doe
grand jury investigation are required of the dis-
trict attorney.
The connection between politicians and the
underworld is old; in New York the alliance goes
back at least to two decades before the Civil
War. The use of gangs for election frauds and
intimidation of voters, in return for which "pro-
tection" is given by politicians, has never ceased,
particularly where elections and primaries are
closely contested, as exposures in New York,
Chicago and Cleveland have dramatically shown.
But it is probably a mistake to attribute the rise
of the racket in Chicago to intense political
factionalism in that city or to assume that the
alliance is disrupted when one political machine
is firmly intrenched; racketeers contribute to
Racketeering 47
political campaigns directly, and also indirectly
through distribution of foods to the poor of a
neighborhood under the auspices of a district
leader. Often the real appointing power, the dis-
trict leader, is in politics for reasons of business,
and mutually advantageous alliances are part of
the game.
The relation between politics and racketeer-
ing, although difficult to prove, has been revealed
in important instances. The Illinois Association
for Criminal Justice reporting on the Municipal
Court of Chicago found, for example, "a defi-
nitely established relationship between the un-
derworld and some feudal lords." The Magis-
trates' courts inquiry in New York City exposed
the common practise of intercession by district
leaders on behalf of criminals and the acceptance
of a large loan by a magistrate, later removed,
from a notorious leader of the underworld. The
murder of an assistant district attorney in Chi-
cago, with its subsequent exposure of close
connections between officialdom and racketeers,
as well as the use by professional gamblers of
district clubhouses in New York furnishes other
striking evidences. Amazing too are the criminal
records of notorious racketeers discharge after
discharge by the lower courts for "lack of evi-
dence" as are the astonishing "leaks" of infor-
mation from the offices of prosecuting attorneys.
But it is unlikely that all the political "fixing"
is due to outright corruption of public officials.
Some, as Molcy has recorded, are "money hon-
est but politically crooked." In the practise of
this official immorality the release of no single
criminal is considered a menace to society.
Political corruption was greatly stimulated by
federal prohibition. The public conscience was
softened by widespread opposition to the at-
tempted regulation of personal habit, and large
sums came into the hands of bootleggers. The
step from political protection of an illegal traffic
in liquor to protection for other crimes was but
a short one. Many former gangs were absorbed
into the beer and liquor rackets, as pre-prohibi-
tion criminal records disclose. The illegal nature
of the enterprise itself compelled violence and
murder. As the sanction of force became routine
it was an easy transition to find subsidiary
fields of action, as, for example, where the anti-
trust laws barred legal attempts to combine.
Because of a general disrespect for law the
racket found its respectable partners in crime,
business men, prepared for the partnership.
From the functional point of view the wholly
parasitical racketeer must be distinguished from
Encyclopaedia of the Social Sciences
the racketeer who performs a measure of service
by acting as a stabilizing force in industry. The
parasitical racketeer is big brother to the juvenile
gangster, who in return for tribute refrains
from stealing from the pushcarts and stores of
the neighborhood, and whose services are valu-
able merely to the extent of the self-restraint he
exercises. His contemporary counterpart injects
himself into the economic scene in the same
fashion but on a larger scale. Choosing a weak
spot in the industrial structure he proceeds to
occupy the point of vantage to his own profit.
His operations are most likely to begin where
the victims are of foreign origin and ignorant of
the laws and where small capital is required.
Fruit dealers, cleaners and dyers, truckmen, fish,
vegetable and fresh poultry dealers, are the most
likely subjects for exploitation. The field is more
fertile when the supply of the product is rela-
tively small and easy to monopolize or where
the time element is essential to the victim, as in
the "shakedown" of building contractors work-
ing under heavy contractual penalties for delay
or as in "loading" and trucking rackets, where
the movement of perishable foodstuffs is essen-
tial to prevent decay.
The racketeer as a type is a natural evolution-
ary product of strict laissez faire. Society lays
no restriction upon the number of middlemen
who may enter a field. There is no challenge to
the middleman to prove his economic useful-
ness; no certificate of convenience and necessity
is asked or given. The parasitical racketeer, no
more or less useful than many jobbers and
wholesalers, personifies economic individualism
in its farthest reach. He grows in a porous eco-
nomic organization, giving no reason for his
being except that he is a seeker after gain. For
the ethics current during the era of prosperity
that was almost excuse enough. The American
scene, in broad perspective, showed tolerance
toward the acquisition of riches at the expense
of moral restriction. In an era of unrestrained
competition the touchstone of morality was suc-
cess. The pegged market in stocks, the manipu-
lation of subsidiary companies, the reckless
puffing of securities, the taking by corporate
managements of inordinately large bonuses, the
rather widespread evasion of taxes, the easy con-
nivance of politicians in grabs are a few illus-
trations of the temper of the times which furnish
a key to the parasitical racketeer.
The attitude of the typical victim is not unre-
lated. Even though the motive of fear is primary,
there is often the feeling too that when the
tribute can be passed on to the consumer the
extortion is not inherently wrong. Some long
for freedom of action, but many covertly ap-
prove methods that bring greater stability to
their own businesses. Certain commission mer-
chants, for example, have admitted that selling-
directly to a racket monopoly instead of to many
retailers is a boon because it eliminates many
detailed bookkeeping entries.
On the other hand, the stabilizing racketeer,
while he is in purpose and method a criminal,
is in function perhaps an illegal police force. He
is more powerful than injunctions and suits for
damages; he executes the mandates of his asso-
ciates with dispatch and by direct methods.
These associates are legitimate business men,
and the racketeer's problem is often a sensible
limitation of production. His methods, however,
are violent, and the power he wields is uncon-
trolled, for he has no concern with the tests by
which his victims are selected. This alliance
between business and the underworld is attrib-
utable in substantial respects to the antitrust
laws; yet the entire burden cannot be made to
fall upon these laws, for even if voluntary com-
bination for price fixing were legal, the recalci-
trant individualist would still be a problem for
discipline and the cost to the consumer, per-
haps, would remain equally high.
The racketeer sometimes called in to organize
an association often remains to head it by intimi-
dating his employers. With armed force at hand
and with a reputation it is not difficult for him
to find new spheres of influence. As the activities
of the rackets are broadened, large sections of
the community thus find themselves paying an
unofficial sales tax to powerful lords of the
underworld A Capone is able to offer civic peace
to Chicago through his own police methods, to
protect a labor union against parasites and to
break a powerful association racket by the pres-
tige of his name.
An invisible government is set up, linked to
the invisible government of the political ma-
chine. Its existence, like that of lynch law, is
inimical to government, for the reservation of
the exclusive use of force by the state is funda-
mental to an ordered political society. Sharing
with the state the use of force the illegal organi-
zation also becomes a coordinate taxing agency,
for it levies a tribute upon sales and services.
Estimates as to the cost of racketeering are
little more than guesses. Many direct payments
can never be determined; losses by extortion are
not reported to the police as are thefts. The
Racketeering
indirect costs to the community in higher prices
and association dues are difficult to assay, for
the higher prices are sometimes partially com-
pensated for by the saving of marginal entre-
preneurs from costly bankruptcy or by the pre-
vention of forced liquidations Accurate com-
parison of average prices before and during the
advent of the racketeer is a complicated task,
since many other market factors may enter.
Added elements of cost which must be' consid-
ered of course are increased insurance rates for
plate glass; arson, burglary and bombing risks;
as well as the expense involved in added police
protection and prosecuting expenses. The New
York State Crime Commission in 1931 reported
that racket costs to the nation were estimated to
range between $12,000,000,000 and $18,000,-
000,000 annually, while the attorney general of
the United States stated m 1933 that the national
tribute to racketeers amounts to $1,000,000,000
annually. As the Wickersham commission con-
cluded, 'the data prerequisite to any estimate of
racketeering losses are non-existent."
In the face of the challenge of racketeering
society must take action by direct police meth-
ods and perhaps by a reappraisal of legislation.
The repeal of federal prohibition is already ac-
complished, and proposals to repeal the anti-
gambling laws and to modify the rigors of the
antitrust laws are being discussed. Public opin-
ion must be made to feel that the dispensation
of favors through political "pull" is vicious. The
press and the bar must exert pressure for the
appointment of able men to prosecutors' staffs
and for the disbarment of lawyers who grow
rich as advisers to the underworld.
While the problem of law enforcement as such
is essentially a local matter, the federal prose-
cutions of racketeers are also important. The
federal government has followed t\vo principal
methods, that which makes use of the income
tax and that which relies upon the antitrust laws.
A third method coming into increasing use is
applicable where extortion is attempted through
use of the mails. Violation of the antitrust laws
is clearly subject for federal action since inter-
state commerce has been restrained, the mailing
cases likewise are properly federal. But the use
of the oblique attack of the income tax law has
met with some criticism. The objection based
upon constitutional demarcations in the field of
criminal jurisdiction is, however, only theoreti-
cally applicable, for the complexities of modern
conditions were not foreseen by the founders,
and the tendency of Congress and the courts has
49
been toward an expanding view of the constitu-
tion in the designation of new federal substan-
tive crimes. It is clear moreover that since the
government is legally entitled to share in the
profits from many forms of criminal endeavor,
a separate crime against the revenue has ac-
tually been committed. Again, the danger that
prosecutors will have too free a hand in the
selection of defendants, although it is in theory
disturbing, has in practise been found illusory,
for m most income tax prosecutions commission
of other crimes extortion, bribery and the con-
duct of illegal business has in point of fact
been incidentally proved.
Not only does the success of the federal prose-
cutions demonstrate the possibilities of action by
local agencies when freed from political pres-
sures, but the methods of federal investigation
themselves should foreshadow the technique to
be followed by local authorities. The tracing of
criminal relationships by means of bank ac-
counts, often under fictitious names, and the
close scrutiny of corporate books are important
features. The use of the John Doe grand jury
investigation where crime is known to exist but
where the racket leader is not yet definitely
linked to any provable conspiracy is valuable.
The application to duty which calls for the
summoning of hundreds of witnesses from an
industry, sometimes for merely informal pre-
liminary conversation, points the only way in
which the few good witnesses competent to
prove cases of racketeering will be found.
Recent legislation has strengthened the fed-
eral attack on kidnaping and the powers of state
officials to proceed against business racketeering.
The immediate remedy, however, is to be sought
not so much in new laws as in the selection of
able enforcement officials, divorced from politi-
cal pressure. The repeal of prohibition has
already caused the liquor racketeer to turn to
new fields, but adequate defense ought to come
from a change in the public attitude toward law-
breaking and from the pressure of lower stand-
ards of living, impelling political revolt against
"unofficial sales taxes." A fearless and free offi-
cialdom is the preliminary answer to the chal-
lenge.
MURRAY I. GURFEIN
See CRIME; LAWLESSNESS, LAW ENFORCEMENT; EX-
TORTION, GANGS, BRIGANDAGE, INTIMIDATION, VIO-
LENCE; POLICE; CORRUPTION, POLITICAL, PROHIBI-
TION.
Consult: Asbury, Herbert, Gangs of New York (New
York 1928); O'Connor, J. J , Broadway Racketeers
Encyclopaedia of the Social Sciences
(New York 1928); Hostetter, G L., and Beesley
T. Q , It's a Racket! (Chicago 1929), Sullivan, E D
Rattling the Cup on Chicago Crime (New York 1929)
and Chicago Surrenders (New York 1930), Terrett, C
Only Saps Work (New York 1930), Pasley, F D.
Al Capone (New York 1930), Gnwen, E , A True
Expose of Racketeers and Their Methods (New York
1930), Adamic, Louis, Dynamite (New York 1931),
Willemse, C. W , Lemmer, C. J , and Kofold, J. C ,
Behind the Green Lights (New York 1931), Mc-
Conaughy, John, From Cain to Capone (New York
1931); Godwin, Murray, "The Sociological Signifi-
cance of Racketeering" in Our Neurotic Age, ed. by
S. D. Schmalhausen (New York 1932) p. 326-49;
McDougall, E. D., Crime for Profit (Bos,ton 1933),
Illinois Association for Criminal Justice, Illinois Crime
Survey (Chicago 1929) ch xxiu, New York, Commis-
sion to Investigate Charges against Thomas C. T.
Cram, In the Matter of the Investigation, under Com-
mission Issued by the Governor of the State of New
York, of Charges Made against Honorable Thomas
C T Cram, District Attorney of New York County
Report and Opinion of Samuel Seabnry, Commissioner
(New York 1931), United States, National Commis-
sion on Law Observance and Enforcement, Report
on Cost of Crime, Reports, no 12 (1931). For the
periodical literature see. McCarthy, K. O , "Racket-
eering, a Contribution to a Bibliography" in American
Institute of Criminal Law and Criminology, Journal,
vol. xxn (1931-32) 578-86, and the periodical indexes.
RACKI, FRANJO (1828-94), Croatian his-
torian, politician and nationalist leader. Racki
was trained originally as a Catholic theologian
and professor of theology. His three-year stay
in Rome (1857-60), during which he devoted
himself to studies in palaeography and diplo-
macy and gathered historical source materials
from various archives, provided him with a
scientific and methodological equipment for his
historiographical work. After his return to
Croatia he dedicated the rest of his life to the
Croatian national movement as scientist, na-
tional mentor and aid to Bishop Strossmayer
in the organization and upbuilding of Croatian
scientific institutions. An active politician and
political publicist, he took a leading part in the
creation and propagation of a national and
cultural South Slav program and in the in-
vestigation of Croatian and South Slav history.
His political and historical articles exerted a far
reaching and fundamental influence on Croatian
national political thought and movements.
Racki was a prominent member of the Croatian
diet from 1861 and a Croatian representative in
ihe Hungarian parliament from 1865, partici-
pating in the discussions of all the important
constitutional and national problems. Politically,
he favored an autonomous Croatia with a unified
administration within a federal Austrian mon-
archy. He considered it a historical and natural
necessity to unite the Serbs and Croats and, in a
broader sense, all the South Slavs including also
the Slovenes and the Bulgarians. Racki thus
became the most prominent apostle and formu-
lator of the South Slav idea and he cultivated the
intellectual ground for the subsequent Jugoslav
political union. His thorough acquaintance with
the national and historical development of the
South Slavs and his accurate knowledge of the
differentiating and unifying forces and tenden-
cies in this process of development provided him
with a solid foundation for his political views
and were responsible for his enormous in-
fluence As a scientific historian, political publi-
cist and orgam/er he represented the view that
national and political unity could be brought
about only through consciousness of a common
national culture, a common South Slav literary
language and a literature and learning with a
South Slav orientation. This consciousness of a
common culture, he held, would overcome all
the difficulties and contradictions which had
arisen as a result of different historico-political
development, religious divergences and alien
Romanic, German and Byzantine-oriental in-
fluences. Racki worked unceasingly in this spirit
as the first president of the Jugoslav Academy of
Sciences and Arts, founded in 1866. His nation-
alism represented a peculiar combination of
Croatian patriotism and South Slav pan-Slav-
ism. As a historian he was conscientious and
critical, familiar with the sources and the auxil-
iary sciences. He was the author of numerous
fundamental studies and edited historical source
materials from various archives, particularly the
Vatican His special field of research was the
period of the national Croatian dynasty (ninth to
eleventh century) and the general political,
social and cultural history of the South Slavs
during the Middle Ages. Through his investiga-
tions and source editions in the Monumenta of
the academy he laid the foundations for the
study of older Croatian and South Slav history
and made available to European scholarship the
older history of the South Slavs.
JOSEF MATL
Consult- Smiciklas, Tade, Zivot i djela Dra. Franje
Rackoga (Life and work of Dr. Franjo Racki) (Zagreb
1895), Zagorski, V., Franpois Racki et la renaissance
scientifique et pohtique de la Croatie (1828-1894)
(Pans 1909), Novak, V., Franjo Racki u govonma i
razpravama (Racki in his speeches and writings)
(Zagreb 1925); Matl, J., ''Entwicklung und Charakter
der nationalen Kulturideologie bei den Siidslawen"
in Seventh International Congress of Historical Stud-
Racketeering Radicalism
ies, Rtsumfs des communications . . . (Waisaw 1933)
pt. 11, p. 222-27; Fischel, A , Der Panslawismus bis
zum Weltkneg (Stuttgart 1919).
RADIC, STJEPAN (1871-1928), Croatian na-
tionalist and agrarian reformer. Radic succeeded
in obtaining an education, despite great financial
difficulties, at Zagreb, Prague and at the Ecole
des Sciences Pohtiqucs in Paris. His political
activities fall into well denned periods: as a
student he took an important part in the youth
movement which aimed at a South Slav union;
from 1902 he was the secretary and the chief
propagandist of the Croatian opposition parties;
in 1904 he organized the Croatian Peasant party,
which after the World War became the domi-
nant party in Croatia, and was its leader until
his death. During the thirty years in which he
was one of the outstanding personalities in South
Slav politics he endured imprisonment, exile
and incessant persecution, first from Magyars
and later from the pro-Serb group in Jugoslavia.
But he never ceased his work of organising the
Croatian peasantry and his propaganda for their
cause and for Croatian nationalism, his devotion
made him the peasants' idol.
Influenced by contact with western capital-
istic individualism and by western ideology,
especially by the writings of Tolstoy and the
French democrats, and in nationalist doctrine by
Racki and Masaryk, Radic was nevertheless
deeply rooted in the patriarchal family, village
economy and culture of his homeland, his
doctrines reflect this dual background. His aim
was a peaceful state in which the dominant or
rather the controlling influence would be the
peasantry. His program called for a struggle by
legal means for the emancipation of Croatia,
which Radic pointed out was conditioned by the
spiritual awakening and strengthening of its
agricultural population. These ends would be
achieved by education, by raising the general
cultural, and especially the economic level of the
people. Tending more toward messianism than
toward the rational and systematic, Radic saw
the complete regeneration of mankind in a new
social order based on the peasant family home-
stead as an economic and cultural unit. The
number of such homesteads must be increased
and improved by the break up of large landed
estates and the abolition of sale for debt of
peasant farms and all their appurtenances. As a
pacifist he opposed the idea of the class struggle
as well as national and imperialistic wars.
The program of Radic 's Peasant party is con
tained in his pamphletSj Najjafa stranka u
hrvatskoj (Founding of a Croatian party, Zagreb
1902) and the post-war Put k seljackoj republici
(Zagreb 1921; tr. into German as Grundlehre
oder Programm der kroatischen repubhkanischen
Bauern-Partei, Zagreb 1923), which adapted the
earlier program to changed conditions. Before
the World War Radic advocated not a dual but a
triune system for Austria- Hungary, in which
Croatia would be the third state. After the
formation of Jugoslavia he insisted that historical
conditions required its decentralization and that
it should be transformed into a democratic
federate republic with various instruments of
popular control, such as the referendum Except
in 1925, when Radic was minister of education,
and for a short time thereafter, the parlia-
mentary group of the Croatian Peasant party
(Hrvatska seljacka stranka) under his direction
either abstained from participation in the
government or formed an effective opposition
bloc
A pioneer of the subsequently powerful
"green international," Radic developed the
peasant movement in Croatia and formulated its
ideology. He broke the economic and spiritual
domination of the city over the country and
brought the peasantry to its important role in
the nationalist movement, which had previously
been supported and controlled exclusively by
the urban intelligentsia.
Radic was a prolific journalist, and the his-
torical significance of his work has not yet been
fully appraised. His social and economic ideas
are to be found especially in Hrvatska misao
(Croatian thought). He was the author of a
number of books, including La Croatte actuelle
et Ies Slaves du Sud (Pans 1899), Moderna
kolonizaaja i Slavem (Modern colonization and
the Slavs, Zagreb 1904) and Savremena Evropa
(Contemporary Europe, Zagreb 1905).
JOSEF MATL
Consult "Autobiojrraphy of Stephen Raditch with an
Introduction by Charles A Beard" in Current His-
tory, vol xxix (1928-29) 82-106, tr from Boztcmca
(1926) 55-84, Beard, C. A., and Radin, G., The
Balkan Pivot Yugoslavia (New York 1929) p 133-
44, Wendel, H , Aus der Welt der Sudslazven (Berlin
1926) p. 21-26, 36-40; Holzmann, Hugo, in Oester-
reichischer Volksunrt, vol. xx (1928) 1303-05.
RADICALISM is currently conceived as a
complex sentiment with three major com-
ponents. Of these, the first and perhaps most
basic is a conspicuously stressed attitude or
frame of mind toward one particular institution
of society or toward the social order as a whole.
Encyclopaedia of the Social Sciences
52
An individual may be a radical with respect to
religion but not with respect to art; with respect
to science but not with respect to religion or the
economic establishment; with respect to politics
but not with respect to sex; with respect to the
economic establishment but not with respect to
the family. Conversely a person's radicalism
may envisage the entire complex of a society or a
culture, and apply to each and every one of its
component institutions; and it is observable that
radical attitudes toward any one institution tend
to expand in scope until their field is coincident
with the entire setup of a society.
Attitudes are identified as radical when their
prevailing emotional tone is one of moral in-
dignation, often rising through anger to hatred
for some existing and powerful institutional ar-
rangement which is evaluated as in principle and
practise untrue, unbeautiful, unfair, unjust, ex-
ploitative, and the like. This emotion tends to
express itself in a specialized and appropriate
vocabulary which, figuring in the mind of the
radical as an objective designation of what he
hates, operates in fact as a dialect of value-
judgments whose every term carries moral con-
demnation. Examples of such dialects may be
observed in the special vocabularies derived
from Karl Marx or from Henry George or from
Thorstein Veblen.
The second major component of radicalism
is a distinct philosophy and program of social
change looking toward systematic destruction of
what is hated, and its replacement by an art, a
faith, a science or a society logically demon-
strated as true and good and beautiful and just,
or at least more so than the condemned estab-
lishment or society.
Finally, radicalism tends to define its aims
and methods in democratic and humanitarian
terms. Its indignation is directed against the
classes in behalf of the masses, against the
privileged in behalf of the unprivileged, against
owners in behalf of the propertyless. It favors
the many over the one.
In the nature of things, the more conspicuous
of the three components are the emotional tone
and its vocabulary of misprision and assault.
These spread by a kind of induction that attracts
people to the radical cause when they themselves
feel grievances which are by it rationalized and
socialized and that repels them into a counter-
anger and hatred if they feel that it assaults their
persons, their privileges, their interests or their
possessions. For this reason usage tends to
make "dangerous," "subversive," "irrespon-
sible" constant companions of radicalism and
radical.
These connotations of the terms were not
their first. They are comparatively recent de-
velopments, and have spread most markedly
since the World War. Radical and its derivatives
came into effective use in the eighteenth century,
comcidentally with the spread of democratic
ideas. Lecky says that English radicalism was
born with the attempt to reform Parliament in
1769 and to make the members "habitually
subservient to their constituents." A quarter of a
century later, James Fox, aiming at this same,
still unattamed goal, spoke of the necessity of
"radical reform." But it was in the years between
the end of the Napoleonic wars and the adoption
of the First Reform Bill that the term came into
widespread use in England as the designation of
a specific attitude, especially in politics. In the
course of time a European consensus became
manifest concerning the import of radicalism.
Herbert Spencer described it in his Social
Statics as endeavoring "to realize a state more in
harmony with the character of the ideal man."
It had attained a comparative identity of mean-
ing in all lands where the humanitarian and
democratic ideals of the pre-revolutionary
French and English writers became the points
of departure for principles and programs of
social change. Thus, Bentham and his followers,
whose views dominated the greater part of the
Victorian era, are called the philosophical
radicals. With their deep resentment of the in-
equities of society, their active sympathy for the
oppressed and the poor, their enthusiasm for
"the greatest good of the greatest number," and
their demand that a political creed shall base
itself on scientific knowledge of nature and
human nature, the philosophical radicals pro-
vided the classical material for the idea of
radicalism evinced by later generations. As this
and that item of the Benthamite program was
enacted and yet left its goal unattained, the
"scientific" and doctrinal component of radical-
ism changed, without altering the emotional
and the moral. Later, philosophical radicals
were succeeded by scientific socialists. Today, in
many quarters, radical is practically synonymous
with socialistic or one of its many variants, such
a* syndicalist, communist, Bolshevik, and the
same animus attaches indifferently to all.
Radical is the bad name which opponents of
any plan of social change give to it with a view to
defeating it. Intrinsically a plan may propose no
more drastic and extensive a change when it is
Radicalism
called radical than when it is called conservative.
Thus, Fascism in Italy, Hitlerism in Germany
and Leninism in Russia involve no less far
reaching alterations of polity in one case than in
the others. All three alike were animated by
intense hatreds for the regimes they overthrew,
and each proclaimed social salvation to be ex-
clusively the consequence of the regime it set up.
Yet usage would reject radical as an altogether
inappropriate description of Mussolini or of
Hitler, and would accept it as quite suitable to
Lenin and his followers. There were those who
called William Jennings Bryan radical, and to
whom Theodore Roosevelt was reactionary. An
influential class of Americans financiers and
industrialists are reported to consider as rad-
ical the modifications of the industrial and
financial structure of the United States which
were initiated by law in 1933. A less influential
but more numerous class progressives and
socialists find them conservative. The thread
of continuity amid all this variation of meaning
is the common recognition among the different
evaluators that radicalism is intrinsically consti-
tuted by its humanitarian and democratic intent.
When a program or an ideology is called radical
by one group and conservative by another, the
first sees it as an instrument for the liberation
and improvement of the lives of the masses, the
other as a hypocritical or insufficient instrument.
How a measure or a man is to be designated
depends on who does it and from what position.
The difference is one of purpose and perspec-
tive.
Considerations of this order suggest that in
themselves plans of social change are no more
radical or conservative than locomotives are
capitalist or wheat is communist. A radical intent
accrues to any plan of economic or political
reconstruction if it is directed toward the dis-
tributive freedom and well being of men. With a
simple alteration in the incidence and distribu-
tion of power from the few to the many, the
corporative state of Mussolini and his dogma-
tists and the totalitarian state of Hitler and his
confabulators could be as radical as the socialist
state of Stalin and his planners. In point of fact,
the actual democratic incidence and distribution
of power are not needed. As the situation in
Soviet Russia amply proves, the belief and the
hope that they will take place are enough to
command the eulogium, or opprobrium, of
radicalism.
As to the passional component of radicalism,
it is no more pronounced or intense than in
53
conservatism. But events since the World War
have rendered it more conspicuous, and the
convention of the times has apportioned to it,
falsely, the more significant role among the
components of the sentiment of radicalism. As
a result of the insurgence of the Freudian psy-
chology at a period when, because of the Russian
Revolution, radicalism was in the air of many
lands, the sentiment was made a theme of psy-
chological and pseudo-psychological inquiry. It
was studied by means of questionnaires, in-
telligence tests, rating scales and the other
implements of post-war psychology. Some in-
vestigators found radicals to be repressed people
whose blocked impulses turned back on them-
selves, taking the form of anger and pugnacity,
which then flowed outward against the charac-
teristic obstructions to freedom and happiness in
the social order. Economic security, a happy
marriage, a hobby, were declared often to
deradicalize the radical so made. Other in-
vestigators, using other methods, revealed that
radicals have a quicker reaction time than con-
servatives; that they are not so set in their ways
and break habits more readily; that they are
more self-conscious, more retiring, more sensi-
tive and more humane than conservatives; that
they are less amenable to contagion from ma-
jority opinion; that they have a higher intelli-
gence quotient. Still others found them to be
neurotic, envious, anti-social and the like, and
in need of treatment as cases for mental hygiene.
Whether these psychological discoveries are
facts or fictions is irrelevant. They are vitiated
from the point of view of social science in that
they are attributed to a type of personality,
attitude and behavior conditioned by the fact
that it is in a combative situation, and that its
manifest qualities are functions of this situation.
In terms of the processes of social change, the
frame and attitude of mind called radicalism is a
phase which develops out of liberalism in
consequence of successful obstruction to the
graduated c hangings of the past in which liberal-
ism consists and which it carries on. This ob-
struction intensifies liberal resistance. It ends by
generating a powerful antagonism which cul-
minates in a break with the past in both feeling
and plan. Radicalism in the current sense of the
word originates at the breaking point. If the
successful obstruction to the radical program
persists, radicalism becomes indistinguishable
from intransigence (q.v.). The blocked emotions
and energies of the radicals are redirected, and
take form as verbalizations. They develop
Encyclopaedia of the Social Sciences
54
elaborate dialectics of social change, sometimes
of astounding ingenuity. These dialectics be-
come "systems" and constitute the deposit of
faith of a cult. Such cults have been described,
in the racy expression of the late Theodore
Roosevelt, as "the lunatic fringe" of the radical
movements. Their adherents are as a rule not
numerous, and are far more eager to make con-
verts than to win power. They are marked by a
tendency to gravitate into the orbits of other
movements, as the Single Taxers and so many
others gravitated into the Bull Moose movement
in the United States in 1912. It is in this regard
that they distinguish themselves from another
species of the genus radical, which may be
called revolutionary. The revolutionary move-
ment tends to retain its autonomy and to seek
power in order to set up the changes it con-
templates. Although blocked, in the long run it
functions, in common with all radicalisms, as a
point of reference, if not a gradient, for the
direction and pattern of social change. The his-
tory since 1870 of the socialisms, orthodox,
heterodox, true and perverse, in various parts of
the world, provides a rich example of the rule.
Bismarck drew upon socialism at least as much
as Ramsay MacDonald. Fascism, Nazism, pro-
posals of "planned economies" in the United
States, revolutionary programs in Mexico,
China, Spain, Japan all exhibit components
drawn from the socialist ideology, their sponsors
believing themselves to gain strength from the
radical contamination.
HORACE M. KALLEN
See. CHANGE, SOCIAL; CRITICISM, SOCIAL; COLLEC-
TIVE BEHAVIOR, INTRANSIGENCE; CONSFRVATISM; LIB-
ERALISM, OPPORTUNISM; ANTIRADICALISM; POLITICAL
OFFENDERS; REVOLUTION AND COUNTER-REVOLUTION.
RADIO
HISTORY AND ECONOMIC ORGANIZATION. . . . HOWARD T. LEWIS
CULTURAL ASPECTS WILLIAM A. ORTON
LEGAL ASPECTS HARRY SHULMAN
HISTORY AND ECONOMIC ORGANIZATION. The
radio industry embraces the manufacture of
transmitting and receiving apparatus, the broad-
casting of programs and the transmission of
messages. The three branches are not only inter-
dependent but frequently interlocked under
common corporate control by means of holding
companies and similar devices. The radio indus-
try has not the same direct economic importance
as other great industries, but it transcends them
by its significance as a means of entertainment
and communication.
In 1896 Guglielmo Marconi, utilizing the
scientific work of Hertz, Branly, Lodge and
others, secured in Great Britain a patent for
wireless telegraph circuits and apparatus. He
realized from the outset that the future of radio
depended upon its being endowed with com-
mercial value. Because his experiments had
demonstrated the possibility of transmitting
messages by wireless telegraphy between ships
at sea and the shore, there was organized in
Great Britain, on July 29, 1897, the Wireless
Telegraph and Signal Company (subsequently
Marconi's Wireless Telegraph Company, Ltd.),
which acquired the title to all Marconi's patents
throughout the world except in Italy and its de-
pendencies. In the same year the first Marconi
station was established on the Isle of Wight and
the Marconi system was adopted by the Italian
navy. Two years later the British Admiralty in-
stalled the system on 32 warships and war sta-
tions, and a French gunboat was equipped with
wireless. In 1900 the first German commercial
wireless station was opened on Borkum Island;
in the next year Marconi spanned the Atlantic
Ocean from Cornwall, England, to Newfound-
land. The value, both commercial and military,
of wireless telegraphy was promptly recognized
and utilized.
Developments in the United States did not
lag far behind. The Marconi Wireless Telegraph
Company of America, a subsidiary of the British
company, was formed on November 22, 1899.
The British interests realized from the beginning
that the commercial development of wireless
telegraphy was dependent upon adequate and
strategically located shore stations quite as much
as upon well equipped ships. The American
Marconi Company erected and operated 60 land
stations, including a high power station on Cape
Cod capable of transmitting messages to ships
at sea over a distance of 2000 miles. Until 1912,
however, it did not operate any high power sta-
tions for the transmission of transoceanic
messages.
Meanwhile a complicated patent situation had
arisen, involving a struggle of rival corporate
interests. American inventors were actively at
work. By 1908 Lee De Forest had secured a
Radicalism Radio
55
number of patents covering a three-element tube
by adding the grid to the filament and plate al-
ready covered by an earlier patent of J. Ambrose
Fleming. Following a court action brought by
American Marconi in 1917, which successfully
alleged infringements of the Fleming patent it
had acquired, De Forest sold his rights to the
American Telephone and Telegraph Company,
which could use them in long distance telephone
communication without infringing on the Flem-
ing radio patent. The De Forest interests con-
fined themselves to the manufacture and sale of
various component parts used in assembling
radio sets. The Marconi Company was unable
to manufacture three-element tubes and could
get them only through the Western Electric
Company, a subsidiary of American Telephone
and Telegraph. The United Fruit Company also
had secured important radio patents of its own
and the right to use others from the Marconi
Company; in 1912 it acquired the Wireless
Specialty Apparatus Company, the principal
manufacturer of crystal receiving sets, and in
1913 established the Tropical Radio Telegraph
Company as a subsidiary to conduct its radio
operations. The situation was further compli-
cated by xhe fact that the Federal Telegraph
Company owned the important Pederson and
Poulsen patents. Thus a considerable number of
inventions covered by patents of great value to
radio were controlled by opposing interests
which refused to license one another. Some im-
provement was effected during the World War
when the United States government persuaded
the concerns involved to disregard patent rights
in so far as governmental requirements were
concerned, in return for a guaranty of protection
against infringement suits.
Another factor entered the situation. The
British Marconi Company had spread its inter-
ests all over the world by means of subsidiaries
and interlocking directorates. This quasi-mo-
nopoly was threatened by an American inven-
tion. The American Marconi Company had not
been able to render reliable transatlantic radio
service because of faulty apparatus at both trans-
mitting and receiving stations. E. F. W. Alex-
anderson of the General Electric Research
Laboratory succeeded in building a high fre-
quency alternator which corrected some of these
defects. The value of this improvement was
recognized immediately by the British Marconi
Company, and in 1917 it tried to secure exclu-
sive rights to the machine. Although unsuccess-
ful at the time, British Marconi in 1919 again
sent its representatives to the United States to
negotiate with General Electric for the exclusive
rights to the Alexanderson alternator and its
accessories in exchange for $5,000,000 worth of
contracts with General Electric. The negotia-
tions were virtually concluded when Rear Ad-
miral Bullard of the United States Navy ap-
proached the General Electric Company, stating
that the value of the Alexanderson alternator
and its accessories in rendering reliable trans-
oceanic radio service had been demonstrated;
that it was without doubt the best system in
existence; and that if the General Electric
Company sold these rights to British Marconi, it
would be possible for British interests, in view
of their domination of the cable situation, to
obtain a monopoly of world wide communica-
tions for an indefinite period. Negotiations were
dropped and General Electric found itself with-
out an outlet for the invention in which it had
made a heavy investment. Under Bullard's
guidance a plan was evolved by which a new
company was to be organized, controlled en-
tirely by American capital The first step con-
sisted of the purchase of the block of stock
owned by British Marconi in its American
subsidiary. In 1919 the General Electric Com-
pany was instrumental in the organization,
under the laws of the state of Delaware, of the
company known as the Radio Corporation of
America.
The new company purchased all the patents,
goodwill and physical assets of the American
Marconi Company and then entered into an
agreement with General Electric, whereby the
two companies exchanged rights to use each
other's patents and agreed to sell exclusively to
each other the radio apparatus which they made
under these patents. As a result Radio Corpo-
ration obtained control of practically every high
power station in the United States together with
a number of important radio patents. Further
control over patents was secured in 1920, when
an agreement was reached between General
Electric, Radio Corporation, Western Electric
and American Telephone and Telegraph to
allow one another the right to use all of the
radio patents belonging to each company. A
similar arrangement was made by the Radio
Corporation with the United Fruit Company in
1921. In the same year the new company ac-
quired the ra/iio interests of the Westinghouse
Electric and Manufacturing Company. The
International Radio Telegraph Company, con-
trolled by Westinghouse, sold to the Radio Cor-
Encyclopaedia of the Social Sciences
poration its patents which applied to the manu-
facture of practically all receiving apparatus
using vacuum tubes, and Westinghouse agreed
to manufacture apparatus exclusively for the
Radio Corporation.
The development of broadcasting opened a
new period in the history of radio. Although as
far back as 1907 De Forest had equipped a
number of vessels with radio-telephonic ap-
paratus, it remained for the Westinghouse Com-
pany on November 20, 1920, to put into opera-
tion the first permanent radio broadcasting sta-
tion. At the beginning of the new period the
radio companies were of two typ^s: those inter-
ested primarily in radio, such as the De Forest
company and the Radio Corporation; and those
concerned chiefly with outside interests and only
incidentally with radio, such as Westinghouse,
General Electric and several others. These
firms, all operating before 1922, had an average
capitalization of $6,000,000 and followed con-
servative policies, their only problem being one
of expanding production. By 1921 a radio boom
was in full swing; many new interests were at-
tracted by what they believed to be opportuni-
ties for big and rapid profits New companies
sprang up overnight, with an average capitaliza-
tion of only $950,000. In the month of April,
1922, the state of New York chartered 56 com-
panies whose business in one way or another was
to be concerned with radio and whose capitali-
zation averaged $31,500. The output and sales
of radio receiving sets increased tremendously
(see accompanying table). The increase in sales
ANNUAL RADIO SALES, UNITED STATES, 1920-31
YEAR SALF s
1920 $ 2,000,000
1921 5,000,000
1922 60,000,000
1923 136,000,000
1924 358,000,000
1925 430,000,000
1926 506,000,000
1927 425,600,000
1928 650,550,000
1929 842,548,000
1930 500,931,500
1931 309,270,000
Soune The Market Data Book, for 1928, i9-'9, 1931 and 1933
(Chicago 1928-33)
from 1921 to 1922 amounted to noo percent;
from 1922 to 1923, 127 percent; and from 1923
to 1924, 163 percent. Total sales rose from
$2,000,000 in 1920 to $358,000,000 in 1924 and
$842,548,000 in 1929. The majority of sets
placed on the market during this boom period
did not, however, meet the claims made by the
manufacturers.
The result of the boom was overexpansion
and excess capacity, whose costs kept down
profits and in many cases turned them into
losses Competition was intensified in spite of
the increasing public demand for sets. The ca-
pacity of two or three companies was more than
enough to meet the existing demand. During the
period from 1919 to 1925 the number of com-
panies increased very rapidly and, while the
earnings of the radio industry as a whole in-
creased, the average earnings of individual com-
panies from radio sales dropped noticeably. The
boom collapsed in 1925-26, preparing the con-
ditions for a general stabilization of the radio
industry Of the 188 companies existing in 1925
only 73 were doing business in 1926, a drop of
6 1 percent in one year through failure or with-
drawal; only 26 of these companies existed in
1932 Of 40 firms reporting in 1925, 6 failed
(11; percent); of 43 in 1926, 4 failed (9 percent);
of 44 in 1927, 3 failed (7 percent.) The figure for
failures in all manufacturing industries has
never deviated far from i percent. This collapse
of 1926 also affected radio stock values, which
had been rising. In 1924 there were 12 stocks
listed for trading at a boom value of $147,041,-
634; in 1926 the value was $58,678,456, a net
loss of 60 percent. There was a noticeable effect
on corporate earnings For 1925, 32 companies
reported average earnings of $536,142; in 1926,
28 reported an average of $553,196; in 1927, 28
reported an average of $589,049. Earnings rose
very slowly because of the basic changes which
were taking place in the structure of the indus-
try. The personnel of the industry was shifting
rapidly; new companies were formed and old
companies were liquidated. Of those which
withdrew during 1925-27 the average capitaliza-
tion was only $700,000; of those which were set
up during 1926-27 the average was $1,500,000.
Throughout this period the Radio Corpora-
tion of America extended its control over the
industry, in spite of the complaints of the
smaller producers against the "Radio Trust."
By 1930 the Radio Corporation was a dominant
factor in communication, manufacturing and
broadcasting. RCA Communications, Inc., en-
gaged in the handling of international communi-
cations, while the Radio Marine Corporation
specialized in ship to shore and airplane busi-
ness. RCA Victor, Inc., produced radio cabinets ,
and phonograph records and absorbed RCA
Photophone, Inc., while RCA Radiotron, Inc.,-,
Radio
57
manufactured radio tubes and has since ab-
sorbed the Cunningham Tube Manufacturing
Company. The Radio Corporation has full
ownership of the National Broadcasting Com-
pany. In addition the Radio Corporation is
interested in the development of television
through its control of Radio-Keith-Orpheum
Corporation. The company also has a 27 percent
stock interest in Electric and Musical Industries,
Inc., which is a merger of the Columbia Graph-
ophone Company, Inc., and the Gramophone
Company, Ltd. In the speculative boom which
collapsed in October, 1929, Radio Corporation
stock rose to fantastic heights.
As a result of the prosecution of the Radio
Corporation under the antitrust law a consent
decree was signed on November 21, 1932, by
virtue of which General Electric, Westinghouse,
American Telephone and Telegraph and certain
other companies were required to divest them-
selves of all stock interest in the Radio Corpora-
tion. The latter company retained the right to
grant licenses to manufacturers whether of its
own patents or of those acquired under the
patent pool. It is obligated, however, to grant
licenses to all applicants and this under the same
terms and conditions. In addition the Radio
Corporation is permitted to license, manufac-
ture and sell the transmitters and transmission
tubes, which it was formerly obligated to buy
from either General Electric or Westinghouse.
It is permitted to go into the business of manu-
facturing and selling radio sets with the Radio
Corporation licenses and to operate outside the
radio field.
In the ten-year period 1920-29 radio became
definitely an industry of first magnitude. Esti-
mates indicate that in 1930 the industry em-
ployed about 110,000 wageworkers. Labor con-
ditions are about the same as in other branches
of the electrical industry, except that a larger
number of women are employed, and the work is
highly seasonal. Experience during 1926-29 has
indicated that employment is more unstable in
the manufacture of radio sets than in the vacuum
tube factories; in the former from one third to
two fifths of the workers employed at the peak
of production in summer and early fall were re-
tained in the recurring spring "depression,"
and in the latter about one half. There are no
unions in the industry.
Of the total radio output of $463,109,235 in
1929 (20.1 percent of the whole output of elec-
trical manufacturing) $381,096,428 represented
the value of radio apparatus, of which $253,260,-
052 accounted for receiving sets and $82,012,807
(17 71 percent) for radio tubes. In 87 manufac-
turing plants, specializing in the production of
radio receiving sets to the extent of 90 percent or
more of their business, the selling value of their
products was 63 6 percent of the total value of all
receiving sets produced in 1929. Of the total
distributed sales made by these 87 manufac-
turers 80.2 percent was transacted through
wholesalers, 7 3 percent was direct to industrial
consumers, 6 8 percent was direct to retailers
and 5 3 percent was through wholesale outlets
owned by manufacturers Of $47,928,000 of
sales made by manufacturers of radio tubes in
that year 55 9 percent was through wholesalers
and 318 percent through manufacturers' whole-
sale outlets. This surprisingly large distribution
of tubes through manufacturers' wholesale
branches, as contrasted with receiving sets, is
perhaps explained by the fact that radio tubes
are now produced by large scale electric lamp
manufacturers, who have utilized the wholesale
branches originally established because of the
need for special care in testing and handling
their fragile product.
Other figures are equally significant. It was
estimated that, in 1932, 16,125,000 families in
the United States owned receiving sets, out of a
world total estimated at 20,000,000. If an aver-
age sized family of 3.3 persons is assumed, over
50,000,000 people were presumably reached by
this means of communication. On June 30,
1933, there were 598 American broadcasting
stations. The Federal Radio Commission in
193 1 estimated the gross receipts of broadcasting
stations and networks as approximately $77,-
758,000. From 1927 through 1932 the sums ex-
pended for time alone and only over the two
great national networks increased each year over
the preceding year; the figure had risen to
$39,106,766 by 1932. A reliable estimate placed
the total investment of the radio industry in
plant facilities for manufacturing, distributing
and broadcasting at $175,000,000 in 1932; other
estimates are even higher.
Radio services can be grouped roughly into
two major divisions: commercial communica-
tions and broadcasting. Within the former divi-
sion particular mention may be made of fixed,
maritime, police and aviation services. The fixed
services relate to radiotelegraphy and radio-
telephony. They include the transmission not
only of messages but also of photographs, docu-
ments and the like. In 1933 there were in the
United States 310 point to point telegraph sta-
Encyclopaedia of the Social Sciences
tions at 28 locations and 34 point to point tele-
phone stations at 6 locations, which were
licensed by the Federal Radio Commission to
render fixed public service, including press, over
international circuits; the stations were operated
by 1 1 companies. Communication between the
United States and 53 foreign countries was
possible by radiotelephone stations and wire line
extensions which provided facilities for the in-
terconnection of 92 percent of the telephones of
the world.
The maritime services are those established
between ships and shore stations or between
vessels. On June 30, 1933, there were 1997 ship
stations licensed by the Federal Radio Commis-
sion on vessels of American registry. The use of
radio by police departments has grown steadily
since its establishment by Detroit in 1927. In
four states Michigan, Pennsylvania, Iowa and
Massachusetts a state police radio service is
maintained. On June 30, 1933, there were 123
radio stations licensed for police use. The use of
radio in aviation service is in no small measure
responsible for the increased safety and relia-
bility of air transportation.
After a period of rapid growth the number of
broadcasting stations in the United States de-
clined from a peak of 68 1 in 1927 to 598 m 1933.
One reason for the decline is the Federal Radio
Commission's policy of licensing only those sta-
tions which operate for "public convenience and
necessity." Another reason is the high cost of
installation and operation, a cost which poorly
managed or poorly located stations have been
unable to meet. On the other hand, the decline
in the number of stations has been compensated
by the improvement in their transmitting facili-
ties and power. The individual station moreover
has become of relatively less importance with
the growth of regional and national networks.
The first of these, the National Broadcasting
Company, controlled by the Radio Corporation
of America, was formed in 1926; the Columbia
Broadcasting Company was organized two years
later. Although the relationships existing be-
tween a chain and the individual stations vary
considerably, in the main it may be said that
the former pays each station for the use of its
facilities for purposes of commercial broadcast-
ing and is in turn paid for sustaining programs
for which the individual station contracts Out
of this relationship many problems arise. Most
of them center around the amount of payment
to be made by the one to the other and around
the distribution or use of the hours during which
the station is in operation. Another important
series of problems has developed as a result of
the attempt on the part of the chains to secure
the greatest possible advantage in the various
competitive areas. This effort has resulted not
only in a widely varying rate structure but also
in a shifting of the stations from one network to
another. In an effort to control the situation
more effectively there has come about the in-
evitable trend toward ownership of individual
stations by the chains, particularly in the more
important receiving areas.
The broadcasting structure in the United
States is dominated primarily by commercial
motives. The stations are operated for profit,
and the cost in the first instance is paid by a
private business seeking to sell goods or service
Sustaining programs are provided for the time
which is not sold for commercial purposes.
Roughly 64 percent of broadcasting time is uti-
lized by such programs. It is claimed that the
average commercial program today is one fifth
sSales talk and four fifths entertainment. These
facts help to explain the rise of the chains, since
the national advertisers not only can afford to
pay for chain service but also desire the maxi-
mum coverage for their investment.
The federal government operates no public
broadcasting stations but exercises comprehen-
sive regulation of broadcasting stations through
the Federal Radio Commission, which was
created in 1927. The commission consists of five
members appointed by the president for a term
of six years and has four divisions: legal,
engineering, examiners and field operations. It
has power to regulate the use of air channels, to
assign wave lengths, to control the increase of
facilities and the establishment of new stations
and to determine engineering regulations govern-
ing the transmitting apparatus. It has practically
no control over the programs presented (see sec-
tion on LEGAL ASPECTS).
Radio is also regulated in all other countries,
the tendency in Europe being toward stricter
government control. In Great Britain broadcast-
ing is a monopoly under control of the British
Broadcasting Company, with a royal charter
which is not transferable and may be revoked.
Regulatory powers of a very stringent kind are
vested in the postmaster general. The French
government operates a chain of stations, while
Japan operates its foreign radio communication '
system. In most European and in some Latin
American countries broadcasting is supported
in large part by taxtes; annual license fees are
Radio
59
imposed on receiving sets, ranging from five
cents in France to eighteen dollars in San
Salvador. In the Soviet Union the whole indus-
try is under governmental control.
The international economic and political as-
pects of the radio industry are of marked sig-
nificance. The Radio Corporation of America
came into existence as a result of an effort to
prevent British interests from gaining the same
measure of control over world radio that they
exercised over cable facilities. The contest be-
tween the United States, China and Japan over
radio operation in China is indicative of the po-
litical and military importance attached to radio.
A similar struggle has been going on in Latin
America between American and British radio
interests As a result of the Imperial Communi-
cations Conference in 1928 Imperial and Inter-
national Communications, Ltd , was formed to
establish in the British Empire a system of wire-
less communications under joint control Closely
related to the political and military aspects are
the commercial. Control of the instruments of
international communication is in itself a valu-
able asset to all foreign commerce Aside from
this strategic advantage, however, there is a con-
siderable volume of foreign trade in radio equip-
ment, supplies and accessories. The export of
radio equipment and supplies from the United
States increased from $8,794,453 in 1926 to ap-
proximately $23,000,000 in 1929, 1930 and 1931
but declined to $13,312,166 in 1932. Of the total
exports in 1932 only 5 percent of the dollar
volume consisted of transmitting equipment,
whereas receiving sets, tubes and accessories
constituted 95 percent. Imports of radio ap-
paratus into the United States have been negli-
gible from the beginnings of the industry and
since 1929 have declined steadily.
HOWARD T. LEWIS
CULTURAL ASPECTS Broadcasting constitutes
the cheapest, speediest and most ubiquitous
mode of communication achieved by mankind.
An instrument with immense educational and
cultural possibilities, modern broadcasting is
essentially a collective phenomenon, and its
utilization has therefore presented new prob-
lems to the individualist creed of western capi-
talism. Yet in this matter as in others the United
States has not worked out a body of thought or
opinion adequate to control the results of mod-
ern science in their application to the collective
life. The development of broadcasting was left
primarily, although not without protests, to the
patent owners and the equipment manufac-
turers
The original incentive to broadcasting was the
obvious consideration that unless something
was "on the air" the public would have no
inducement to buy radio receiving sets. But as
early as 1920 offers were being received and ac-
cepted from commercial concerns willing to
supply program material in return for the chance
to advertise A rapidly growing source of reve-
nue was thus discovered, and the hire of broad-
casting facilities by advertisers became the
financial mainstay and eventually the raison
d'etre of the vast majority of stations. The
prospect of increasing advertising revenue by
enlargement of the service area led to constant
demands for higher power per station and to the
development of interstation hook-ups. The
latter culminated in the formation of chain or
network systems, which by means of leased tele-
phone wires and simultaneous rebroadcasting
from a number of scattered stations could offer
nation wide coverage, charging as much as
$15,000 per hour The National Broadcasting
Company was established to act, according to a
statement of Merlin Aylesworth, its president,
"as an indirect sales promotion agency for the
radio manufacturing industry." The result has
been that the cultural possibilities of radio have
been limited by the pressure of business inter-
ests. No real use of radio is being made in the
American school system. Rural areas are vir-
tually neglected, except for broadcasting of
go\ernment crop reports. In the cities the radio
is mainly a substitute for the motion picture
theater.
The Federal Radio Commission, established
by the White Act in 1927, has taken the view
that "advertising must be accepted for the
present as the sole means of support for broad-
casting " It has ruled moreover that "a broad-
casting station engaged in general public service
has ordinarily a claim to preference over a
propaganda station," interpreting the term
propaganda to include "every school of thought,
religious, political, social and economic." The
commission has no power over program content
or sequence, save the authority to revoke a
license in cases of obscenity or other obvious
abuse. Regulation has always been strenuously
combated by the broadcasters, who claim that
their business is analogous to newspaper pub-
lishing in that the provision of non-commercial
matter to the public is dependent on the adver-
tising revenues. As a description of the existing
Encyclopaedia of the Social Sciences
60
situation this analogy is on the whole correct.
American radio programs are of two kinds, as
described in a report of the Radio Commission
for 1932. "A commercial program is a program
presented by the station for profit It is spon-
sored usually by a person or corporation engaged
in either wholesale or retail [sale] of merchandise
with a view of gaining the good will of listeners
and of making direct sales. The program content
usually consists of either orchestra, song, drama,
symphony, opera or variety, interspersed with
sales talks or a description of the commodity
advertised. A sustaining program is a program
presented by the station without compensation
and at its expense. Its purpose is twofold, (i) it
serves as one method whereby the station can
qualify under the public interest clause con-
tained in its license and (2) it serves as a
method by which the station seeks to enlarge
and hold its audience and thereby increase the
value of time available for commercial programs.
The program content usually consists of either
orchestra, song, drama, symphony, opera, va-
riety, literature, science, politics, news, sports,
or special events." A specimen survey at the
close of 1931 showed that of 582 stations report-
ing, commercial programs accounted for 36 14
percent of broadcasting time These furnish the
sole source of revenue for the sustaining pro-
grams; any decline in advertising is therefore
liable to affect the non-commercial service,
much of which symphony concerts, opera
broadcasts, international news events and the
like is very expensive.
While the great majority of programs to
which any cultural value can be assigned are of
the sustaining character, certain advertisers have
at times contributed musical, dramatic and semi-
educational material of merit. Inasmuch, how-
ever, as the advertiser necessarily strives to reach
the widest possible public, the cultural range of
commercial programs is narrowly restricted.
Furthermore local stations associated with the
chains are under no obligation to rebroadcast
sustaining programs and usually do not if they
can sell such hours on their own account. With
occasional exceptions stations use sustaining
program material only in default of paid adver-
tising, to which the more valuable evening hours
primarily are devoted.
While the principal stations, especially those
of the chain networks, have shown in recent
years an increasing sense of public responsi-
bility, criticism of the American system has like-
wise become more widespread and emphatic.
The prior claim of commercial interests on
broadcasting time and facilities, recognized by
the Federal Radio Commission, is resented by
various groups, those concerned with education
being the best organized. In the early years of
broadcasting nearly 100 educational institutions
established broadcasting stations, only 44 of
which had survived by 1932. These were all of
relatively low power and in many cases operated
on restricted time. In terms of the composite
units used by the commission for classification,
they comprised less than 7 percent of all broad-
casting facilities. While it is generally admitted
that most of the original enterprises in this field
were initiated too hastily, without adequate
realization of the problems involved, educators
in recent years have been vigorous in asserting
their claim to more consideration Conferences
were held in 1929-30, from which two principal
groups emerged The first, organized as the
National Committee on Education by Radio,
and supported by the Association of Land-
Grant Colleges and Universities, the National
Education Association and other influential
bodies, demands of Congress legislation for the
exclusive reservation of not less than 15 percent
of all broadcasting facilities for public and in-
stitutional educational agencies. This demand is
strenuously opposed by commercial broad-
casters. A second group, formed as a result of a
study made by the American Association for
Adult Education, became organi/cd in 1930 as
the National Advisory Council on Radio in
Education, financed by Carnegie and Rocke-
feller funds. Since the National Broadcasting
Company had proclaimed that broadcasters
would be willing to donate time to educational
purposes as soon as an authoritative body of
educators could agree on matters of program and
policy, the National Advisory Council set out
to organize such a body and to draw up an ex-
perimental program. The chains then complied
with their offer to donate time, with the result
that since the fall of 1931 series of lectures have
been broadcast over nation wide networks in
economics, psychology, government and kin-
dred fields. The lectures have been supple-
mented by reprints and pamphlet material made
available at low cost through the University of
Chicago Press. The policy of the National Ad-
visory Council has been to cooperate with rather
than to combat the dominant interests.
The Federal Radio Commission in 1932, in
reply to a congressional inquiry, declared that
"the present attitude of broadcasters . . . justi-
Radio
61
fies the Commission in believing that educa-
tional programs can be safely left to the volun-
tary gift of the use of facilities by commercial
stations." It is doubtful, however, whether even
if they were willing commercial broadcasters
could afford to donate much more time than
they do at present for an extension of the very
limited educational facilities now olTered. The
costs are heavy, and in some cases the two na-
tional broadcasting systems have appealed for
voluntary financial support for educational pro-
grams. The group favoring approp native legis-
lation holds that it is in principle undesirable for
education to depend on the good will of com-
mercial broadcasters or private advertisers
Under such circumstances, it is claimed, there
can be no assurance that suitable material will be
made available at the right time without risk of
displacement by revenue yielding items; and
several cases of such displacement lend color to
this view. To date, however, the record of insti-
tutionally owned or operated radio stations is
open to grave criticism. The distribution of
broadcasting time by 71 institutions using radio
is thus summarised in a 1933 report entertain-
ment, 44 6 percent; general information, 23 6,
farm and home information, 204, formal in-
struction, 7 5; commercial programs, 3 9. It
must be pointed out, however, that education-
ally owned stations arc in danger of losing then
licenses unless they operate full time, although
there would seem to be no inherent necessity for
this requirement beyond the attitude of the
Radio Commission The problem of financing
further educational use of radio is also likely to
become urgent, even if broadcasting time and
facilities continue to be donated in sufficient
measure. Yet, as a former member of the Radio
Commission has pointed out, although Ameri-
can broadcasting is overwhelmingly commercial
in aim, no payment has been asked of broad-
casters for their license to use public channels.
Included m the activities classified by the
broadcasters as educational are the dissemina-
tion of news and the discussion of political
issues. About both these activities perplexing
problems havearisen. The efforts of certain news-
papers in 192830 to organize their own wireless
service for news gathering purposes met with
very serious obstruction from the principal
patent owners in the industry. On the other
hand, the practise of commercial broadcasters of
using current news items as part of their pro-
gram material has recently encountered serious
opposition from the newspapers In addition to
restricting the free space given to radio program
announcements, on the ground that these are in
the main advertising items which should be paid
for as such, the associated newspapers adopted
in April, 1933, a policy of stringent limitation in
regard to the broadcasting of general news items,
while the Associated Press has imposed on its
members still more definite limitations as to the
use by broadcasters of copyright news material
limitations which the courts appear willing to
support.
The use of radio for political or governmental
purposes is probably its most important social
aspect. The extent of this use is indicated in part
by the fact that in 1931 the two principal net-
works devoted 528 hours without compensation
to speeches by national, state or city officials, the
estimated commercial value of the lime being
approximately $3,000,000 Since that vear such
use of radio has beei, rapidly on the increase,
apart from the broadcasting paid for by political
groups and parties in the campaign of 1932 and
to a lesser extent continuously It has been sug-
gested that the type of leadership so developed
may become to an undesirable degree emotional
rather than rational Safeguards would seem to
he, first, in the supplementary consideration of
issues in the press and, second, in the impartial
allotment of radio facilities to various schools of
opinion While cases of discrimination have not
been lacking, American broadcasting cannot be
attacked on this score more than other systems,
particularly if the economic and strategic in-
fluence of the various schools seeking publicity
is taken into account It is of course inevitable,
under a s\stem of private ownership and com-
mercial hire of facilities, that groups which can
command large sums of money, directly or in-
directly, have a basic advantage over less fortu-
nate groups.
The most serious charge which may be ad-
vanced against the American system is con-
cerned with the general cultural level of the
great mass of broadcast material. That level is
indicated in the dictum of the president of the
National Broadcasting Company, uttered during
a speech on education, that "in broadcasting we
are dealing with a mass message, and the ma-
terial delivered must be suitable for mass con-
sumption " This conception of the mass, taken
over from salesmanship, sets rigid limits to the
possibilities of advance and experiment and dis-
regards all minorities possessed of more than
the most rudimentary intelligence or education
in any of the special fields served by radio else-
Encyclopaedia of the Social Sciences
62
where. It colors the musical, literary and educa-
tional efforts of the broadcasters, who fear that
they may lose their public if they pay attention
to the needs of groups whose cultural level is in
any marked degree above the average. Among
the latter dissatisfaction with American broad-
casting is acute and increasing; but such groups
are not numerous enough to exert economic
pressure, which alone can evoke response from a
commercial system. To the minority it appears
that, no matter what steps in this direction be
taken, there is an inherent contamination of
literary, musical, educational, religious and all
other material involved in the close association
with commercial advertising. Since nearly all
American broadcasting stations are profit seek-
ing institutions, programs selected purely on
their merits have necessarily a subordinate claim
to programs selected for their advertising appeal.
Further the competitive nature of the business
has precluded the development, not only of any
intelligent planning of radio offerings but even
of any such general and classified description of
them as would enable a listener to make an ad-
vance selection of the material now offered.
There is, however, little prospect of improve-
ment. There are no grounds for assurance that
advertising revenues will increase in such meas-
ure as to permit much advance in either quality
or quantity of the sustaining programs; nor does
the evidence warrant the supposition that drastic
curtailment of advertising would prove feasible
financially. It is generally conceded that the
prestige and popularity of American radio are on
the decline. According to the best expert opinion
there is no probability that television will come
into commercial or general use in the near future
to reanimate the radio industry; nor can such
use be desirable culturally before some in-
telligent form of social control is devised.
In no other country does the conduct of
broadcasting depend so completely on adver-
tisement as in the United States. In England,
the Soviet Union and Austria no advertising is
permitted. Where it is allowed, as in France,
Canada, Australia, Italy, Brazil, Mexico and
Spain, it is under the supervision of some re-
sponsible authority and usually subject to limi-
tation with regard to amount as well as to charac-
ter. The British system constitutes the most
thoroughgoing attempt to render broadcasting a
publk service of cultural value. It is financed
from an annual license fee of ten shillings levied
on each receiving set; a little over half of this
revenue suffices to sustain all services, including
experimental work, the balance going in
lie funds. The publications of the British
Broadcasting Corporation include three peri-
odicals, in which commentaries, program notes,
illustrations and other matter supplement the
broadcasts. The proportion of jazz in program
material is much lower, and special types of
audience, those interested, for example, in mod-
ern poetry, music and literature, are regularly
catered to. The conduct of the system is under
constant criticism in both press and Parliament,
but all parties have united in preferring it to any
other. It has contributed not merely to the po-
litical and cultural education of the people but
notably to the maintenance of orchestral music
and the opera, which would otherwise have had
to depend mainly, as in the United States, on the
uncertain patronage of a wealthy minority. The
recent decision of Canada to reconstruct its
broadcasting system on a nationally owned and
controlled basis, in which advertising shall be
permitted under prescribed limitations as a con-
tributory source of revenue, is of especial inter-
est and significance, inasmuch as it follows four
years of deliberation and a thorough experience
of the commercial system.
Recent events in Europe have demonstrated
that non- democratic governments can direct
their radio facilities to partisan purposes, na-
tional and international, of very questionable
character; but there is no assurance that in such
circumstances privately owned systems would
enjoy a special immunity from such subversion.
This development is a step backward in com-
parison with the formation in 1930 of the Inter-
national Broadcasting Union, representing 330
transmitting stations in 21 European countries;
the members of the union have agreed to co-
operate on programs and to abstain from propa-
ganda against one another. The development of
the collective life of democratic societies calls
increasingly for publicly responsible bodies of a
non-political character; and the association in
the American mind deliberately fostered by
certain forces of public responsibility with po-
litical partisanship now constitutes perhaps the
most formidable of the many obstacles to cul-
tural advance.
WILLIAM A. ORTON
LEGAL ASPECTS. Legal development in the
radio industry, more than in most others, is
based on its peculiar technology. Notions of
sovereignty, states' rights, property, laissez faire,
developed by land and commercial economies,
Radio
are belied by the scientific facts of this novel
method of communication.
The limited number of usable or dependable
wave lengths available in the present state of the
art, the inability to construct apparatus of suf-
ficient selectivity to receive the desired wave and
exclude all others, the resulting interference in
reception by transmissions on the same or ad-
jacent frequencies and the extensive geographic
area of interferences, all combine to make laissez
faire in radio communication impossible All
countries consequently control radio communi-
cation, either through government ownership
of transmitting stations, as in Europe, or through
government regulation of privately owned and
operated stations, as in the United States.
Regulation began in the United States with
the enactment of the federal Radio Act of 1912.
Broadcasting was then unknown, and the act
was passed primarily with reference to \vireless
telegraphy. It prohibited radio transmission
without a license from the secretary of com-
merce and incorporated the regulations of the
London International Radio Telegraph Con-
vention of 1912. The secretary attempted to keep
up with the developing use of radio and broad-
casting by holding national radio conferences,
promulgating detailed regulations, assigning
frequencies to stations, refusing licenses \\hich
he thought should not be granted and specifying
the time in which individual broadcasting sta-
tions could operate. Two decisions of lower
federal courts and an opinion of the attorney
general in 1926, holding that the secretary had
no discretion to refuse licenses or to prohibit
broadcasting on frequencies or at times not pro-
hibited by the act, virtually ended his control.
The resulting bedlam following the scramble
for broadcasting and "wave jumping" led to the
Radio Act of 1927.
It set up the Federal Radio Commission to
bring order out of the chaos and, after one year,
to act as an appellate body over the secretary of
commerce, to whom the power of regulation was
then to be restored. After continuing this tem-
porary arrangement for two years, Congress
finally made the commission a permanent body,
to which the Radio Division of the Department
of Commerce was transferred in 1932. The
commission is empowered among other things
to classify radio services, assign frequencies to
the services and the individual stations, grant
and revoke licenses for stations, determine their
location, regulate the apparatus and power to be
used by them, determine their time of operation,
make special regulations with respect to chain
broadcasting and promulgate regulations to pre-
vent interference. It is required to allocate
broadcasting licenses, frequencies, station power
and time as equally as possible among the five
zones into which the country is divided and
equitably among the states according to popula-
tion. This restriction, frequently criticized as
too rigid and out of harmony with scientific
developments in radio, is an attempt to cope
with the universally admitted need of equitable
distribution of the scant facilities for broad-
casting.
The fact that the service and interference
areas of radio cannot be confined by state
boundaries makes control by the individual
states futile and requires either federal control
or no radio communication at all. The necessary
constitutional basis for this federal power was
"found" therefore in the interstate commerce
clause. Broadcasting is "the transmission of in-
telligence, ideas, and entertainment. It is inter-
course and that intercourse is commerce," even
though of a "new species" [United States v.
American Bond and Mortgage Co., 31 F (zd)
448 (1929)]. Since it is also interstate, Congress
has full power to regulate. In any event com-
mercial point to point telegraphy or telephony is
clearly interstate commerce. In order to permit
the efficient use of radio for these purposes by
the elimination of destructi\e interference Con-
gress may and must incidentally regulate all
broadcasting. It h.is been suggested also that
since radio communication involves interna-
tional agreements, federal regulatory authority
may be based upon the power to make treaties
and to provide the necessary and proper means
for their observance. While no state has at-
tempted to set up a complete system of regula-
tion, statutes and municipal ordinances have
imposed a variety of lesser regulations. Many of
these have been impulsive and ill advised; others
are reasonable local police or tax measures. In
the working out of the necessary adjustments
there is danger that constitutional logomachy
may influence decisions beyond the require-
ments of the technological facts which have
fashioned it. Thus a state tax upon the owners
of receiving sets was invalidated by a lowei
federal court on the absurd ground that it was a
direct burden upon interstate commerce, which
is exclusively within the regulatory power of the
federal government.
More difficult problems arise in the distribu-
tion of the limited number of available fre-
6 4
Encyclopaedia of the Social Sciences
quencies among the numerous seekers. The
Radio Act directs the commission to issue
licenses when "public convenience, interest, or
necessity will be served thereby." While this
standard is hoary m the law of public utilities,
little analogy can be found therein for radio. The
possible types of radio service are comparatively
unlimited. And each type has numerous sup-
porters The commission must determine there-
fore not simply whether a particular applicant
will service the public convenience, interest or
necessity, but whether he will do so above all
other competing applicants. It must therefore
make a choice of public policy as to the various
types of services preferred dance music, re-
ligious talks, political discussions and a host of
variations. Furthermore in order to provide for
desirable change or improvement care must be
taken to guard the limited available facilities
against complete appropriation by present users.
For this reason unique limitations have been
imposed on the broadcaster's "property rights."
The act recites that it is intended among other
things "to provide for the use of such channels
[of interstate and foreign radio communication],
but not the ownership thereof, by individuals,
firms or corporations, for limited periods of
time, under licenses granted by Federal au-
thority, and no such license shall be construed
to create any right, beyond the terms, condi-
tions, and periods of the license." Out of abun-
dance of caution it directs that no license shall be
granted "until the applicant therefor shall have
signed a waiver of any claim to the use of any
particular frequency or wave length or of the
ether as against the regulatory power of the
United States because of the previous use of the
same, whether by license or otherwise." The
maximum term of licenses for broadcasting sta-
tions is fixed at three years, but the commission
has limited its licenses to six months, after first
having fixed even shorter periods. The commis-
sion has also exercised its power to reallocate
frequencies, change or reduce the time of oper-
ation and refuse renewal of licenses in order to
delete what it deemed undesirable services.
While prior use and station investment have
been weighty factors in the determination of
public interest or convenience [General Electric
Co. v. Federal Radio Commission, 3 1 F (zd) 630
(1929)], they have not always deterred the com-
mission from eliminating stations or curtailing
their privileges To the claim of deprivation of
property the Supreme Court answered: "That
the Congress had the power to give this au-
thority to delete stations, in view of the limited
radio facilities available and the confusion that
would result from interferences, is not open to
question. Those who operated broadcasting sta-
tions had no right superior to the exercise of this
power of regulation. They necessarily made their
investment and their contracts in the light of,
and subject to, this paramount authority"
[Federal Radio Commission v. Nelson Bros.
Bond and Mortgage Co., 289 U.S. 266, 282
(1933)].
The determination of public interest, con-
venience and necessity rests largely with the
commission. Judicial review is limited to ques-
tions of law; and "findings of fact by the com-
mission, if supported by substantial evidence,"
are conclusive unless clearly "arbitrary, or
capricious." In the exercise of this review in
recent years there has been a decided tendency
to support the commission's determination. The
Radio Act contains another safeguard in the
provision denying the licensing authority the
power of censorship and prohibiting interference
by it with the right of free speech. The provision
effectively prevents previous censorship of in-
dividual programs, and the commission has not
attempted it. But general censorship inevitably
arises when the commission determines, on the
basis of past or promised programs, which of
several applicants shall be awarded an available
license. Until radio technology discovers an
abundant supply of facilities, the ancient free-
dom can be protected only by the wise selection
of administrators.
The lack of facilities has been advanced also as
the conclusive answer to the suggestion that
broadcasting stations be placed under the public
utility obligation of making their services avail-
able to all applicants on equal terms. The Radio
Act requires that a licensee who has permitted
one political candidate to broadcast through his
station must afford equal opportunities to the
opposing candidates for the same office. But it
does not require that the initial use be permitted.
Licensees who engage for hire in the telegraphic
or telephonic transmission from point to point
are, however, required to serve all applicants on
equal terms and along with telephone and tele-
graph companies are subject to the regulatory
powers of the Interstate Commerce Commission
in the matter of rates. Proposed legislation plac-
ing all methods of communication under the
unified control of a single commission on com-
munications will doubtless effect desirable re-
sults, although it cannot avoid the discrimina-
Radio
tion necessitated by the limited broadcasting
facilities.
Private law too has felt the detonation of
radio Whether a person who has been defamed
in a radio speech may ha\e redress against the
several broadcasting stations, whether one
broadcasting station has recourse against another
which picks up the former's program and makes
use of it; whether copyright owners have rights
against the several broadcasting stations in a
chain, against a station which broadcasts an un-
authorized public performance and against the
hotel keeper and restaurateur who by means of
loud speakers bring the programs to their pa-
trons, are all questions to which land law as de-
veloped provides no leady answer [Ruck v.
Jewell-La Salic Realty Co , 283 U S 191 (1931);
Sorensent' Wood and KFAB Broadcasting Co ,
1 23 Neb 348 ( 1 932)] I n. Europe c\ en more than
in the United States these and other problems
of private law have arisen in troublesome com-
plexity (see especially Neugebauer's discussion)
International agreement is almost as impor-
tant as national control, not simply to promote
international communication but to avoid de-
structive interference by foreign tiansmissions
with radio communication \\ithin the individual
nations International cooperation began with a
conference at Berlin in 1903 A second con-
ference in Berlin in 1906 resulted in the first
international radio treaty. Successtvcl) super-
seding treaties were signed at London in 1912,
at Washington in 1927 and at Madrid in 1932.
The Madrid convention amalgamated the there-
tofore separate telegraph and radio conventions
into one International Telecommunication Con-
vention. But separate regulations are provided
for radio and telegraph, and adhering nations
may choose to be bound by only one of the sets
of regulations. There are also supplementary
radio regulations, designed primarily for the
European countries and those in which trans-
mitting stations are government owned. The
United States delegation has accepted only the
convention and the principal radio regulations.
The treaty allocates the radio frequencies among
the several services, such as broadcasting, com-
mercial, maritime, aeronautic and police, but
attempts no distribution among the signatory
nations. Each nation may allocate frequencies as
it desires; but if interference in other countries
should result, the assignment must be made only
in accordance with the allocation among the
services specified in the regulations. Regional
international conferences, such as the North
American Radio Conference, and legional or bi
lateral agreements, such as that between the
United States and Canada, are encouraged. The
Bureau of the International Telecommunication
Union at Berne is made the clearing house for
radio information Claims of frequencies for
transoceanic communication must be filed with
the bureau, although no provision is made as to
the effect of priority of claims The bureau must
be notified also of the employment of frequen-
cies, in any service, which may interfere with
reception in other countries Arbitration is
recognized as the method of settling disputes.
Probably more than any othc industry radio
has been built on patents Thousands of patents
on basic instruments or improvements have been
issued to diverse persons. The manufacture or
use of radio apparatus has consequently been in-
volved in a mac of patent litigation, in which
judges, whose knowledge of radio has been ac-
quired only in the course of the litigation, have
been called upon to decide the issues of inven-
tion, priority and infringement. The hand-
maiden of the patent, monopoly, was found to be
the logical means of resolving the struggle for
patent supremacy. When wireless communica-
tion was still confined to the transmission of
messages between ship and shore, the British
Marconi Company, which owned or controlled
a majority of the world's shore stations, refused
to communicate with stations equipped with
other than Marconi apparatus. The partial pro-
hibition of this practise by the Berlin com ention
of 1906 and the further prohibition by the Lon-
don convention of 1912 were the principal
achievements of those treaties. In the United
States the concentration of patents in the Radio
Corporation of America, coupled with devices
which required patent licensees to purchase cer-
tain unpatented parts from the corporation, was
alleged to have created a virtual monopoly in
radio manufacturing. Enforcement of these
license prov isions was finally enjoined as \ iola-
tive of the Clayton Act [Lord v. Radio Corpora-
tion of America, 24 F (2d) 565 (1928), 28 F
(2d) 257 (1928), 35 F (2d) 962 (1929), 47 F (2d)
606 (1931)], and a government prosecution of
the corporation under the federal antitrust laws
resulted in the entry of a consent decree cal-
culated to break up the concentration [United
States v. Radio Corporation of America, 3 F.
Supp 23 (1933)] The Radio Act requires the
commission to refuse licenses to any person con-
victed of " unlawfully monopoli/ing or attempt-
ing unlawfully to monopolize, after February 23,
66
Encyclopaedk of the Social Sciences
1927, radio communication . . ." or of having
''been using unfair methods of competition" and
authorizes the courts, in suits under the federal
antitrust acts, to revoke the licenses of guilty
defendants. It further prohibits the unified
ownership, control, operation, "directly or in-
directly," of public, point to point radio and wire
or cable communication systems, if the "purpose
is and/or the effect thereof may be to substan-
tially lessen competition or to restrain" inter-
state or foreign commerce "or unlawfully to
create monopoly in any line of commerce."
The peculiar characteristics of radio have thus
evoked a distinct radio law. But the legal con-
trols have been shaped largely by the state of the
art and require continual revision if they are to
keep pace with its progress.
HARRY SHULMAN
See: COMMUNICATION; ADVER USING; PUBLICITY,
PROPAGANDA; EDUCATION, AMUSKMENIS, PUBLIC,
ELECTRICAL MANUFACTURING INDUSTRY, TELEPHONE
AND TELEGRAPH, COMBINATIONS, INDUSTRIAL, PAT-
ENTS; COPYRIGHT, LIBFL AND SLANDER, GOVERNMENT
REGULATION OF INDUSTRY, COMMERCIALISM.
Consult- FOR GENERAL HISTORY AND ECONOMIC OR-
GANIZATION: Jome, Hiram L., Economics of the Radio
Industry (Chicago 1925), Radio and Its Future, ed. by
Martin Codel (New York 1930), The Radio Industry,
by members of the Harvard Graduate School of
Business Administration (New York 1928); Schubert,
Paul, The Electric Word (New York 1928), United
States, Federal Trade Commission, Report . . . on the
Radio Industry (1923), and Commercial Radio Adver-
tising (1932), Dunlap, Ornn E , Radio in Advertising
(New York 1931), Hettinger, Herman S , A Decade
of Radio Advertising (Chicago 1933), United States,
Bureau of Foreign and Domestic Commerce, "Mer-
chandising Problems of Radio Retailers m 1930," by
Jerome Hubbard, Trade Information Bulletin, no 778
(1931); Manning, Caroline, Fluctuation of Employ-
ment in the Radio Industry, United States, Women's
Bureau, Bulletin no. 83 (1931); United States, Bureau
of the Census, Fifteenth Census, Wholesale Distri-
bution, Radio Sets, Parts and Accessories (1932),
United States, Bureau of Foreign and Domestic Com-
merce, "Radio Markets of the World, 1932," by L D.
Batson, Trade Promotion Series, no. 136 (1932); Reith,
J. C. W., "Business Management of the Public Serv-
ices" in Public Administration, vol. vm (1930) 1630;
Laffon-Montels, Marcel, "La radiodiffusion, pro-
blfcme pohtique" in Revue pohttque et parlementatre,
vol. cxxxvii (1928) 448-61; Blackett, Basil, "The Em-
pire and World Communications" in United Empire,
vol. xxi (1930) 658-61; Kloecker, E , Das Funkwesen
in Deutschland und die wirtschafthche Bedeutung des
Rundfunks (Lomngen 1926), Canada, Royal Commis-
sion on Radio Broadcasting, Report (Ottawa 1929);
Beckmann, Fritz, Die Organisationsformen des Welt-
funkverkehrs (Bonn 1925); Tnbolet, L. B , The Inter-
national Aspects of Electrical Communications in the
Pacific Area (Baltimore 1929); Schremer, G. A.,
Cables and Wireless and Their Role in the Foreign Rela-
tions of the United States (Boston 1924); Great Britain,
Imperial Wireless and Cable Conference, 1928, Re-
port, Cmd 3163(1928); International Radio-Tele-
graph Conference, Second, Madrid 1932, Documents,
2 vols. (Berne 1932).
FOR CULTURAL ASPECTS: Bickel, K. A , New Em-
pires; the Newspaper and the Radio (Philadelphia
1930); Perry, Armstrong, Radio in Education (2nd ed.
New York 1929), Tyson, L., Education Tunes In
(New York 1930), Orton, W. A., "The Level of
Thirteen- Year-Olds" in Atlantic Monthly, vol. cxlvii
(1931) i-io, Matheson, Hilda, "Broadcasting as a
Means of Promoting International Understanding" in
League of Nations, Secretariat, Educatumal Survey,
vol. i, no 3 (1930) 11-16; Baglcy, W. C., "What the
Future Holds for Broadcasting into the Schools" in
School and Society, vol. xxxm (1931) 713-76, Amadeo,
T , and Senet, Honorio J , "Radio extension cultural"
in Museo Social Argentine, Boletino, vol xvn (1929)
3-25 See also the various publications of the National
Advisory Council on Radio in Education, New York;
National Broadcasting Company, Advisory Council,
New York, Institute for Education by Radio, Colum-
bus, Ohio; National Committee on Education by
Radio, Washington, and the British Broadcasting Cor-
poration, London.
FOR LEGAL ASPECTS. Praesent, Hans, Bibliographic
des Funkrechts, Deutsche Studiengesellschaft fur
Funkrecht, Schnften, \ols. i-n, 3 vols (Leipsic 1926
29), Ilotchkiss, E B , "Select Bibliography on Air
Law" in American Bar Association, Journal, vol xvi
(1930) 264-66, Davis, Stephen, The Law of Radio
Communication (New Yoik 1927), Davis, W. J. Radio
Law (Los Angeles 1929), Zollman, C , Case* on Air
Law (2nd cd St Paul 1932) pt 11, Pond, O L , A
Treatise on the Law of Public Utilities, 3 vols (4th ed.
Indianapolis 1932) vol n, ch. xxvin; Schmeckebier,
L. F , The Federal Radio Commission, Institute for
Government Research, Service Monographs, no. 65
(Washington 1932), "Report of the Standing Com-
mittee on Radio Law," and "Reports of the Standing
Committee on Communications" in American Bar
Association, Reports, vol. liv (1929) 404-506, and
vol. Iv (1930) 350~437 vol. Ivi (1931) 347-93, vol Ivii
(1932) 423-87, and vol. Ivin (1933) 356-67, Segal,
P. M , and Spearman, P. D. P , State and Municipal
Regulation of Radio Communication, United States,
Federal Radio Commission (1929), Caldwell, L. G ,
"Principles Governing the Licensing of Broadcasting
Stations" in University of Pennsylvania Law Review,
vol. Ixxix (1930-31) 113-57, and "Piracy of Broadcast
Programs" in Columbia Law Review, vol xxx (1930)
1087-1114; Simpson, L. P , "The Copyright Situa-
tion as Affecting Radio Broadcasting" m New York
University Law Quarterly Review, vol. ix (1931-32)
180-97; "Indirect Censorship of Radio Programs,"
and "Federal Control of Radio Broadcasting" in Yale
Law Journal, vol xl (1930-31) 967-73, and vol xxxix
(1929-30) 245-56, Neugebauer, E , Fernmelderecht
mit Rundfitnkrecht (3rd ed. Berlin 1929); Dupond,
Octave, "La T. S. F, et le droit public interne" in
Revue du droit public et de la science pohtique en France
et a I' Stranger, vol. xlv (1928) 258-317; Saudemont,
Andre 1 , La radiophonie et le droit (Paris 1927); Stenuit,
R., La radiophonie et le droit international public (Brus-
sels 1932), Clark, Keith, International Communica-
tions, Columbia University, Studies in History, Eco-
Radio Radowitz
nomics and Public Law, no. 340 (New York 1931)
ch. iv; Grande, Ettore, La radiotelegrafia nel dintto
Internationale (Milan 1927), Gisart, Heinz, Funkrecht
im Luftverkehr, Verkehrsrechtliche Schnften, no. i
(K&mgsberg 1932) For periodicals devoted to radio
law and containing full bibliographies, see Journal of
Radio Law, published monthly in Chicago since 1931;
Air Law Review, published monthly in New York
since 1930; Archivfur Funkrecht, published monthly
in Berlin since 1928, Revue jundique Internationale de
la radioe'lectncitd, published monthly in Paris since
1924; and the reports of the Congres Jundique Inter-
national de Telegraphic sans Fil, Compte rendu, pub-
lished annually since 1 926.
RADISHCHEV, ALEXANDR NIKOLAE-
VICH (1749-1802), Russian philosopher of the
Enlightenment Radishchev received his early
education in the home of his father, a landlord
known for the humane treatment of his serfs. At
the age of seventeen young Radishchev was sent by
Catherine n to the University of Leipsic, where
besides preparing himself for an administrative
career in accordance with the wishes of the em-
press he eagerly absorbed the ideas of Rousseau,
Helvetius and Mably Upon his return to Russia
he served successfully as an official in the senate
and in the College of Commerce and was finally
appointed head of the customs office of St.
Petersburg.
While in office Radishchev continued his
interest in the ideas of the Enlightenment; he
translated Mably's Observations sur Vlmtoire de
la Grece and contributed to a periodical pub-
lished by Novikov, \vith vvhose Masonic circle
he maintained friendly contact. Under the im-
mediate stimulus of Raynal's works he wrote in
1781-83 his ode, Volnost (Liberty), with its
eulogy of Cromwell and Washington, and in
1785-89 his chief work Puteshestvie is Peterburga
v Moskvu (A journey from St. Petersburg to
Moscow). The latter work, composed in a form
borrowed from Sterne and consisting of a series
of descriptive sketches of everyday life in Russia,
constitutes one of the first and most eloquent
attacks on the lawless regime, the corruption of
the ruling classes and the ruthless exploitation
of the peasantry by a greedy gentry Radishchev
appealed to the Russian rulers to establish a
constitutional regime based on equality of rights
and pleaded above all for the emancipation of
the peasants by free consent of their masters.
Should such consent be denied, Radishchev pre-
dicted a bloody revolt of the oppressed masses.
Catherine n saw in his book a picture and criti-
cism of her own regime and, still under the fresh
impression of the developments of the French
Revolution, ordered Radishchev's immediate
arrest and trial. He was condemned to death,
but the sentence was commuted to ten years of
exile in remotest Siberia As an exile Radishchev
continued his literary activity and among other
publications wrote an essay in which he at-
tempted to disprove the materialistic thesis of
Holbach and Helvetius with the aid of argu-
ments drawn from Mendelssohn's Phadon\ he
himself wavered between deism and material-
ism, leaning more markedly toward the former.
Radishchev was permitted to return to his
estate in 1797 by Paul i and was completely re-
habilitated with the accession to the throne of
Alexander i. Not only was he allowed to return
to St Petersburg, but he was even called upon
to serve on the commission which was charged
with the task of introducing the regime of
legality in Russia. Sharing the general expecta-
tion that Alexander would upon his coronation
decree a constitutional regime Radishchev at
the suggestion of Count Vorontzov, who re-
mained in close contact with the circle of the
czar's young friends, working for reform in a
private committee, drew up a remarkable con-
stitutional project which incorporated the ideas
outlined in his mam work. The project did not
materialize, however, and its author, despondent
over its failure, committed suicide.
PAUL MILIUKOV
Works. Sobranie ostavshiksya sochtneny (Collection of
remaining works), 6 vols. (Moscow 1806 n, new ed.
by V. V. Kallash, 2 vols , Moscow 1907); Puteshestvte
iz Peterburga v Moskvu (St. Petersburg 1790; new ed.
with introductions by N. P. Pavlov-Silvansky and P.
E Shchegolev, St Petersburg 1905), tr. into German
by Arthur Luther as Reise von Petersburg nach Moskau
(Leipsic 1922).
Consult. Sukhomhnov, M. I , A. N. Radishchev, Im-
peratorskaya Akademiya Nauk, Otdeleme russkago
yazika i slovesnosti, Sbormk, vol. xxxn, no. 6 (St.
Petersburg 1883), Singer, Eugenie, in Jaiirbuc her fiir
Kultur und Geschtchte der Sloven, n.s , vol. vu (1931)
1 13-62; Myakotin, V. A., Iz tstoni russkago obshchestva
(From the history of Russian society) (2nd ed St.
Petersburg 1906) p. 167-225, Semenmkov, V. P.,
Radishchev: ocherki i issledovamya (Studies and in-
vestigations) (Moscow 1923).
RADOWITZ, JOSEPH MARIA VON (1797-
1853), Prussian statesman and political thinker.
Radowitz, a descendant of Hungarian nobility,
was born in Blankenburg. After serving under
Napoleon and the Hessian government he en-
tered the Prussian general staff in 1823 and rose
to distinction in Berlin court circles, particularly
in the so-called "crown prince group" of the
Encyclopaedia of the Social Sciences
68
later king Frederick William iv, whose most
intimate friend and counselor he became. He
was the cofounder of and from 1831 to 1835 the
leading contributor to the Berliner pohtisches
Wochenblatt, the first journalistic vehicle for
conservative thought. During this period he fol-
lowed Haller in advocating the restoration of the
feudal and patriarchal corporate state of the
Middle Ages. Gradually Radowitz abandoned
the Christian Germanic ideas of this group of
Prussian Protestant nobles, especially after he
became active as military attach^ at the federal
diet in Frankfort in 1836. He then turned toward
constitutionalism and, as Bismafck later did,
attempted to bring together conservatism and
the national idea, which in his time was cham-
pioned chiefly by the liberals; as the king's inti-
mate counselor he came out for constitutional
and federal reforms. These efforts, however,
were swept aside by the Revolution of 1848. In
the Frankfort Assembly of 1848 Radowitz was
the leader of the Catholic Right. In 1849 he was
entrusted with the leadership of Prussia's Ger-
man policy and became the prime mover and
director of the Prussian policy of unification of
Germany without Austria. When with the Ol-
mutx agreement of 1850 this policy came to
naught, Radowitz abandoned active politics. In
his later years he came to view the social ques-
tion as the central problem of the state and
championed an alliance of the state with the
workers. He developed some ideas tinged with
state socialism, such as state protection of labor
and profit sharing. Both in his social thought
and in his national policy he is the most promi-
nent precursor of the later policy of Bismarck.
SIGMUND NEUMANN
Works- Gesammelte Schriften, 5 \ols. (Berlin 1852-53);
Gesprache aus der Gegenwart uber Staat und Kirche
(Stuttgart 1846, 4th ed 1851); Neue Gesprache aus
der Gegenwart uber Staat und Kirche, 2 vols (Erfurt
1851); Nachgelassene Bnefe und Aufzeichnungen, ed.
by Walter Mormg (Stuttgart 1922).
Consult. Hassel, Paul, Joseph Maria von Radowits
(1797-1848) (Berlin 1905), Meinecke, Frieclnch,
Radoivitz und die deutsche Revolution (Berlin 1913).
RAE, JOHN (1796-1872), economist, sociolo-
gist and philologist. After studying at Aberdeen
and Edinburgh, Rae emigrated to Canada, where
he became a schoolmaster. Dismissed for al-
leged inefficiency in 1848, he began his wander-
ings to Boston, New York, California and finally
to the Sandwich Islands, floundering "on from
one instability to another," unsuccessful alike at
teaching, medicine, business and farming.
Even greater restlessness characterized Rae's
intellectual life. A projected "philosophical his-
tory of humanity" led him into history, physi-
ography, economics, sociology and philology.
But "adverse fortune" dogged his steps. His
work on the resources of Canada went unpub-
lished; his New Principles of Political Economy
was virtually stillborn; his essays on the Poly-
nesian language, although praised by J. S. Mill,
were dismissed by Max Miiller as unimportant.
Time has abundantly increased Rae's in-
tellectual stature. Later investigations have
made it clear that Rae preceded Wundt in
formulating a gesture theory of language; while
both the similarities and the differences between
Bohm-Bawerk and Rae have led to a favorable
reappraisal of Rae's economics. One of the first
to perceive the strategic role of producers'
goods, Rae expounded what Mixter aptly desig-
nated a "sociological theory of capital." All
future goods Rae styled instruments. While a
high "effective desire of accumulation" in-
creases the time span between "formation" and
"exhaustion" of instruments, invention reduces
this time span and quickens the flow of present
goods Since invention, including the translation
of foreign "art," can be hastened by the legisla-
tor "acting for the community," Rae vigorously
opposed the nihilism of Adam Smith and in-
sisted that, as private wealth and national
wealth have different origins, the legislator
whose economic function should be to increase
national wealth must act contrary to laissez
faire, must translate foreign arts, further ac-
cumulation and repress luxury.
Rae's sociological interpretation of the "ef-
fective desire of accumulation" was worked into
J. S. Mill's Principles of Political Economy \ his
reproduction cost theory of value reappeared in
the writings of H. C. Carey; his insistence on
generating national productive "powers" fore-
shadowed List's National System of Political
Economy, his condemnation of "conspicuous
consumption" anticipated Veblen.
E. A. J. JOHNSON
Important works: Statement of Some New Principles on
the Subject of Political Economy (Boston 1834, new ed.
by C. W. Mixter as The Sociological Theory of Capital,
New York 1905), "Polynesian Language" in Poly-
nesian (Sept 27, Oct. 4 and n, 1862), reprinted as
Appendix vin m Paget, Richard, Human Speech
(London 1930); "Fragment of an Unpublished Man-
uscript by John Rae" in Quarterly Journal of Eco-
nomics, vol. xvi (1901-02) 123-25; "Letters of Rae to
Mill" m Economic Journal, vol. xn (1902) 111-20.
Consult: Mixter, C. W., "A Forerunner of B6hm-
Radowitz Raiffeisen
Bawerk," and "Bbhm-Bawerk on Rae" in Quarterly
Journal of Economics, vol. xi (1896-97) 161-90, and
vol. xvi (1901-02) 385-412, Bohm-Bawcrk, Eugen,
Gvschichte und Kritik der Kapitalzms-Theonen, his
Kapital und Kapitalzms, vol i (3rd ed Innsbruck
1914) p. 378-433, Mill, J S , Principles of Political
Economy (new ed by W J. Ashley, London 1909) bk.
i, ch. xi, North American Review, vol. xl (1835) 122-41.
RAFFI, HAKOP MELIK HAKOPIAN (1837-
88), Armenian writer and national leader. Raffi
was born in Salmas, Persia; his family were mer-
chants and he received his secondary education
at the Tiflis Gymnasium. A visit to the eastern
towns and provinces of Turkish Armenia, dur-
ing which he observed the hie and sufferings of
the Armenians under Turkish rule, had a deci-
sive influence on Raffi 's subsequent career. He
abandoned his business and went to the Cau-
casus, where he turned all his energies toward
the development of the Armenian national
movement. Under the stimulus of the famous
Armenian journalist G. Ar/rum he developed
his literary talents. In his numerous noxels,
short stories and articles he portrayed \\ith
glowing ardor the heroic past of the Armenian
people and the political oppression of the Ar-
menians in his own day. Turkish Armenia he
considered to be the Armenian fatherland, which
was to be freed only by an insurrection against
the Turks. Raffi's political aim was the creation
of an independent and democratically governed
Armenia. His writings contributed greatly in
rousing the national feeling of the Armenians
both in Russia and in Turkey; and, with Abo-
vian and Arzruni, Raffi ranks as one of the most
important of the early leaders of the Armenian
revolutionary movement.
V. TOTOMIANZ
Consult: Boyajian, Zabelle C , "Raffi the Armenian
National Writer" in Contemporary Rwiew, \ol CK
(1916) 223-28, Burchardi, Gustav, "Raffi, der Scho-
pfer der neuarmenischen Literatur" m Geist des
Ostens, vol. i (1913) 167-69.
RAFFLES, SIR THOMAS STAMFORD
(1781-1826), British empire builder and colo-
nial administrator. Having entered the East
India Company's service at the age of fourteen
Raffles was sent in 1805 as assistant secretary
to the newly created presidency of Penang in
the Strait of Malacca and in 1811 was ap-
pointed lieutenant governor of Java after its
capture from the Dutch. When Great Britain
relinquished Java, Raffles was transferred to
Benkulen on Sumatra. His continued interest
m the British control of the Strait of Malacca
as a corridor to the trade of the farther East led
to his suggestion that Singapore should be made
a British post In 1819 ne to k it for the com-
pany and it was retained despite strong opposi-
tion on the part of the home authorities. It
proved to be a perfect site, according to Raffles,
for a "great commercial emporium, and a ful-
crum, whence we may extend our influence. . . ."
By virtue of his insistence that Singapore be a
free port it soon became the most important
center of the eastern trade.
As an administrator Raffles was a better
master than a servant -impetuous, insatiably
ambitious, in constant trouble with the company
o\er financial matters. In Java, Benkulen and
Singapore he did much for the natives, intro-
ducing a new system of land tenure and abolish-
ing mutilation and torture, tax farming, com-
pulsory cultivation, gaming farms and the slave
trade.
Raffles took a great interest m the culture,
antiquities and natural history of the Malay
region. Sympathetic concern for the Malays led
him to establish the Singapore Institute for
name education. His History of Java (2 vols.,
London 1817, 2nd ed 1830), for which he was
knighted, contains considerable first hand infor-
mation concerning Java. His contemporary sci-
entific reputation has been somewhat eclipsed,
however, by the phenomenal growth of his
political child, Singapore.
HOWARD ROBINSON
Consult Boulger, I). C., The Life of Sir Stamford
Raffles (London 1897), Coupland, R , Raffles, 1781-
1X16 (London 1926), Egerton, H E , Sir Stamford
Raffles England in the Far East (London 1900);
Wright, Arnold, and Reed, Thomas H , The Malay
Peninsula (London 1912) p 98-119, Mills, L. A',
"British Malaya, 1824-1867" m Rojal Asiatic Soci-
ety, Malayan Branch, Journal, \ol m (1925) pt. n,
especially ch. m, Swettenham, Frank A , British
Malaya (rev ed London 1929) ch iv.
RAI, LALA LAJPAT. See LAJPAT RAI, LALA.
RAIFFEISEN, FRIEDRICH WILHELM
(1818-88), German agricultural cooperative
leader. The son of a village burgomaster, Raif-
feisen after being trained for the military was
appointed in 1843 regional secretary in Mayen.
Between 1845 and 1865, when he resigned be-
cause of illness, he served as burgomaster of a
number of small German towns and villages
around Neuwied. After his retirement from pub-
lic service he conducted a small business estab-
Encyclopaedia of the Social Sciences
70
lishment but devoted most of his energies to the
cooperative movement.
The famine years of 1846-47 brought to
Raiffeisen's attention the plight of the poor
peasants and villagers, who even after the eman-
cipation of the peasantry suffered from igno-
rance and poverty which made them the prey of
usurers. In 1846 Raiffeisen founded and ex-
pended a large part of his modest personal for-
tune upon the Weyerbuscher Konsumverein, a
welfare society which by its cooperative mill and
bakery effected a drastic reduction in the cost of
living. In the succeeding years he established in
several villages and towns a number of Htlfs-
vereine and loan banks, which he subsequently
transformed into agricultural credit coopera-
tives, having become convinced that personal
credit was the outstanding need of the poorer
peasantry. Like Schulze-Dehtzsch and other
cooperative leaders of his time, Raiffeisen envi-
sioned cooperation not only as a method of
satisfying the immediate material needs of indi-
vidual communities or occupational groups but
as the vehicle of popular education and moral
renaissance.
His theory and program were elaborated in
his Die Darlehnskassen-Vereine als Mittel zur
Abhilfe der Noth der landlichen Bevolkerung
(Neuwied 1866-87), which went into five edi-
tions during his lifetime and was reprinted in
1923 by the general union of the German
Raiffeisen cooperative societies. In 1872 he
founded the first regional central cooperative
bank; in 1876 he organized a national central
agricultural bank and the following year he
united all the societies which adhered to his pro-
gram. The movement spread rapidly after 1880.
Although they were based in many respects
on Schulze-Delitzsch's plan of credit societies
for urban artisans and tradesmen, Raiffeisen's
societies introduced innovations to meet pre-
vailing conditions among backward rural com-
munities; thus he emphasized the philanthropic
aspect and the authoritative and conservative
character of the cooperatives. Because of these
features it may be questioned whether he
bridged completely the step from welfare to
self-help organizations. A pious evangelical
Christian, Raiffeisen laid great stress upon the
religious aspect of these societies and won for
them the cooperation of religious leaders and
institutions, although they were never confes-
sionally restrictive. His remarkable personality
and complete devotion to the movement won
it many friends, but its success was due to the
soundness of his understanding of the basic
needs and character of the German peasantry.
Despite some deviations and improvements
which must be credited to the able work of his
early collaborator, Wilhelm Haas, the vast ma-
jority of German societies which still bear the
name of Ratffeisenvereine and the spread of simi-
lar societies in other countries bear testimony
to the significance of his program.
ERNST GRUNFELD
Consult: Krebs, W., Aus dem Leben Friedrich Wilhelm
Raiffeisens (and ed. Neuwied 1925).
RAIKES, ROBERT (c. 1735-1811), English
promoter of Sunday schools. At the age of
twenty-one Raikes succeeded his father as owner
and publisher of the Gloucester Journal, and the
files of the paper reflect his philanthropic inter-
ests during the years of his management. He
was particularly active in efforts to improve con-
ditions in the jails of Gloucester and of England
in general. The work for which he is held in
remembrance, however, is his early participation
in the Sunday school movement. A chance visit
to the slums of Gloucester called his attention
to the "misery and idleness" of the children at
play in the street, and further inquiry elicited
a story of especial license on Sundays. Raikes
was at once convinced "that it would be at least
a harmless attempt, if it were productive of no
good, should some little plan be formed to check
this deplorable profanation of the Sabbath."
To this end he employed four schooldames, at a
shilling a Sunday, to receive such children as
came to them and to instruct them in reading
and the church catechism. Thus two old factors,
the schooldame and a religious subject matter,
united with an element of novelty, namely, a
Sunday session maintained by philanthropy, to
form the Sunday school. The first school in
Gloucester was established in 1780, and because
of the publicity Raikes was able to give it in the
columns of his paper the movement spread
rapidly. Within three years some two thousand
poor children were enrolled in similar schools in
Leeds and Yorkshire, and by 1818 a parliamen-
tary return showed that nearly a half million
pupils in England and Wales were attending
Sunday schools. The effort at popular education
in England by this means gave way at the close
of the century to the more comprehensive pro-
gram of the National Society and the British and
Foreign School Society, which provided day
schools for the children of the poor on the basis
of a monitorial plan of instruction. That Raikes
Raiffeisen Railroad Accidents
7 1
was not the first to arrange free instruction for
poor children on Sunday is well authenticated,
but it is equally true that his experiment in
Gloucester was the starting point, not only of
Sunday schools for the poor on an extensive
scale but of the entire system of philanthropic
school societies which laid the foundation of the
English elementary and infant school system.
EDWARD H. REISNER
Consult I larns, J Henry, Robert Raikes, the Alan and
His Work (London 1889), Massey, J. W , Robert
Raikes, a Pwneer of Education (Reading, En^. 1930),
Wodehouse, Helen, A Surrey of the History of Edu-
cation (London 1924) p 144-46
RAILROAD ACCIDENTS. Accidents asso-
ciated with railroading are of two types, those
in which employees are killed or injured and
those in which other persons, that is, the travel-
ing public and trespassers, are involved. The
risk to employees corresponds to the industrial
accident risk in other industries, while accidents
to other persons con&utute a non-industrial or
public risk, a type of hazard peculiar to the
transportation industry. A third type of acci-
dent, in which railroad equipment or property
is damaged but withoiit loss of life or injuries to
persons, is of relatively less importance and \vill
not be discussed here.
The non-industrial or public risk attracted
early attention because of the interest of the
public in the safety of its means of transporta-
tion. Heavy damages assessed for injuries suf-
fered by passengers led the railroads to take
special precautions to prevent accidents. Almost
equally important from the point of view of
arousing public interest in the problem of acci-
dent prevention were the grade crossing acci-
dents, which caused many casualties to persons
using other means of transportation.
Most civilized nations today have govern-
mental agencies for the supervision of safety
devices on railroads and .he investigation of
accidents as well as for the collection of statistics
relating to the latter. But because of varying
requirements for the reporting of railroad acci-
dents, statistics are not internationally com-
parable. In some countries railroad accident
figures are available for only the state railway
systems; in others only the great trunk lines are
covered; in still others statistics do not include
all accidents resulting in injury.
Again, to permit of comparison between the
experiences of different countries a common
measure of risk, based upon comparable figures
of railway accidents in relation to railway acci-
dent exposure, is required. This is not available.
In pre-war Austria, for example, governmental
reporting included two measures of risk' acci-
dents per 1,000,000 tram kilometers and casual-
ties per 1,000,000 train kilometers for all persons
only (train employees not separated). No indices
for post-war Austria have been computed. In
France the measures of risk have been accidents
per 1,000,000 tram kilometers and casualties to
railway men per 1000 railway men. In Germany
the measures of risk have been accidents per
i ,000,000 tram kilometers and per 1000 full time
workers.
The United States, since 1910, has had the
most complete system of railroad accident re-
porting in the world Its measures of risk are the
following: passenger casualties (killed and in-
jured separately) per 1,000,000 locomotive miles
and per 1,000,000 passenger miles; trespassers
(killed and injured separately); employee casual-
ties (killed and injured separately) per 1 ,000,000
man hours, by occupations and also by roads
and occupation for freight and passenger tram-
men separately The composite index of safety
used by the committee of a\\ard of the E. H.
Harriman Memorial Medals may be noted m
this connection. The record for each railroad is
summarized in a single figure in \\tuch fatalities
are given the \\eight of five non-fatal injuries;
also casualties to passengers in tram accidents
are rated per 100,000,000 passenger miles, those
to passengers in tram service accidents per
i ,000,000 passengers carried, those to employees
per 1,000,000 man hours, and those to other
persons (except trespassers) injured at protected
grade crossings or as a result of a vehicle or
pedestrian running into the side of a tram per
50,000 locomotive miles.
Because of incomplete and non-comparable
statistical returns it is impossible to present the
record of the fight against railroad accidents on
an international basis. This article will therefore
be concerned largely with the United States; it
may be pointed out, however, that American
progress in coping with railroad accidents ha."
been duplicated in considerable degree in other
countries. The increasing safety of passengers
in railroad transportation in the United States
is shown in Table i, which gives annual average
casualties for five-year periods from 1888 to
1931. Casualties to railroad passengers in non-
tram accidents are not included.
The decided improvement in passenger safety
as indicated in Table I is relatively greater than
Encyclopaedia of the Social Sciences
72
TABLE I
NUMBER 01 PASSENGERS KILLED OR INJURED IN RAIL-
ROAD TRAIN AND TRAIN SERVICE ACCIDENTS
ANNUALLY, UNIIED STATI-S, 1888-1931
PERIOD* KILLED INJURED
1888-1892 316 2,582
1893-1897 239 2,86l
1898-1902 267 4,437
1903-1907 460 10,321
1908-1912 308 12,260
1913-1917 266 10,931
1918-1922 276 6,820
1923-1927 140 4,901
1928-1931 78 3,021
* Figures up to 1515 are for fiscal years ending June 30, for
1916 to 19 Ji they are for calendar years
Source Compiled from United States, Interstate Commerce
Commission, Bureau of Statistics, Accident Bulletin, jpjj, no,
100 (1932) p. 103
would appear from this series of absolute fig-
ures, since the decline in passenger casualties
has been attained in face of an increasing total
of train and passenger miles of transportation.
If the year 1900, for example, is compared with
193 1 , the number of passengers killed per i ,000,-
000,000 passenger miles decreased from 15 to
2.1, a reduction of 86 percent; while the total
number of passenger deaths fell from 249 in
the earlier year to 46 in the later year, or a
reduction of 81.5 percent. It is true that during
the last two years of the series, 1930 and 1931,
part although not all of the decrease in accidents
was due to a decrease in transportation during
the depression.
Accidents in 1931 in train and train service
which proved fatal to passengers were as follows:
i due to collision, 3 to derailments, 19 to getting
on or off cars or locomotives, 9 to being struck
or run over, 6 to suicides and 8 to miscellaneous
causes. The injuries were distributed among
these causes as follows: collisions 244; derail-
ments 232; getting on or off cars or locomotives
843; struck or run over 13; attempted suicide 2;
miscellaneous 744. Noteworthy is the relatively
small number of casualties in recent years re-
sulting from collisions and derailments. In the
past collisions have been caused largely by
failures of personnel, such as errors of train
dispatchers, disobedience of orders by engineers
and conductors and inability of engineers to
control trains. The early and general adoption
of the block signal system, which provided a
continual check upon the movements of trains,
and the increasing use of automatic train control
devices, particularly during the 1920*8, mate-
rially reduced the danger to passengers from
this source. Derailments are due for the most
part to failures of track or equipment, such as
broken rails and defective switches; floods and
washouts also are responsible for accidents of
this kind. In order to cope with problems pre-
sented by these types of accident railroads have
inaugurated systems of track inspection; loco-
motives also are inspected so that dangers from
defective boilers and the like may be eliminated.
A second major constituent in the risk of
accident to the traveling public is to be found
in the hazards at grade crossings. Of the 1811
persons killed at grade crossings in the United
States in 1931 only 191 were pedestrians; 1331
were riding in automobiles and 239 in motor
trucks. Of the 4657 persons injured only 148
were pedestrians, while 3583 were in passenger
automobiles and 721 in motor trucks. Accidents
of this type showed a steady increase from 730
killed and 1294 injured in 1900 to the peak of
2568 killed in 1928 and 6804 injured in 1929.
Since these years the numbers killed and injured
have declined slightly, no doubt as a result of
the decrease in railroad and highway traffic
during the depression. The marked rise m high-
way travel by motor vehicles is directly respon-
sible for the significant increase in this type of
accident; and despite employment by public
authorities of safety posters, signposts and signal
devices to warn the motor traveling public of
the presence of grade crossings and their dangers
the hazard continues to be a serious one. It can
be eliminated only by the removal of grade
crossings and the depression or elevation of
motor highways at points of intersection with
railroad tracks. While a few such crossings are
removed annually, the great cost attending such
a program on a wholesale scale stands in the
way of the abolition of the risk. Nevertheless,
the growth in the absolute number of casualties
at grade crossings should not be accepted as
proof that the problem is beyond control; the
ratios of deaths and injuries from this type of
accident to total automobile registrations have
shown marked declines in recent years. In 1917,
2.17 persons were killed per 10,000 automobiles
registered; in 1931 the ratio was 0.61. In the
earlier year 6.02 persons were injured per 10,000
automobiles registered as compared with 1.68
persons injured in 193 1 . An analysis of fatalities
by type of vehicle involved shows a somewhat
higher rate for motor trucks than for passenger
vehicles. It is interesting to observe that the
protection of crossings does not altogether elimi-
nate this risk, for, in 1931, 37 percent of the
accidents occurred in spite of the presence of
closed gates, watchmen and various types of
visible or audible signals. In 1932 there were
Railroad Accidents
73
237,035 highway grade crossings on the Class i
railroads m the United States, of which fewer
than one seventh (30,809) were protected; dur-
ing the year 1447 were eliminated and 815 were
added, making a net reduction of 632.
Accidents to trespassers represent a third type
of railroad accident involving the public. In
1900 the total number of trespassers killed in
the United States was 4346; the total number of
injured, 4680. The maximum number killed was
reached in 1907 when the total was 5612; by
1931 it had dropped to 2489. The maximum
number of trespassers injured was 6488 in 1915;
in 193 1 the number of injured was 2977. In this
type of accident the very high proportion of
killed among the total casualties is noteworthy,
for nearly half result in fatalities. This is no
doubt due to the fact that these casualties in-
clude so many cases of vagrants who are over-
taken while walking the tracks or killed while
"bumming" a ride on moving trains. Measures
for reducing this type of accident are exclusively
within the province of the railroads and consist
in a more vigilant policing of the tracks and
trains to prevent unauthorized persons from
trespassing.
The industrial risk to employees in railroad
transportation is of no less importance than the
risk to the public. It includes, in addition to
casualties suffered in the tram and tram service
accidents, casualties suffered in non-train acci-
dents; namely, in maintenance of way and struc-
tures and maintenance of equipment operations.
The number of American railroad employees
killed decreased from an annual average of 3273
during the five-year period 1911-15 to 1446 in
1921 and to 677 m 1931. This last marked a
decline of nearly 80 percent during the whole
period and of over 50 percent during the later
ten-year period. The decrease in the number of
railroad employees injured was almost equally
striking, dropping from an annual average of
148,640 during 1911-15 to 104,530 in 1921 and
to 23,358 in 1931. The low figures for 1930 and
1931, however, were due in part to the falling
ofi in traffic during the depression. In terms of
locomotiv e miles, as a measurement of the inci-
dence of casualties among railroad employees,
fatalities decreased from 0.70 per 1,000,000
locomotive miles in 1925 to 037 in 1931, a
decline of nearly 50 percent. For purposes of
comparison with other industries exposure to
risk is best measured m man hours. Fatalities
to railroad employees on duty per 1,000,000,000
man hours decreased from 362 in 1922 to 212
in 1931, a drop of 41 percent, as compared with
TABLE II
NUMBER OF RAILROAD EMPLOYEES KILLFD OR INJI RED ON DUTY BY CAUSES OF ACCIDENTS, UNITED STATES,
1931
CAUSE
K
ILLED
IN
JURKD
NUMBFR
Total
6 44
100
22,954
1000
Train accidents, total
92
143
4H
i O
Collisions
33
50
169
o ,
Derailments
42
65
180
08
Locomotive boiler accidents
8
I 2
8
Other locomotive accidents
3
Miscellaneous
9
i 4
45
O 2
Train service accidents, total
396
61.5
9,019
393
Coupling or uncoupling locomotives or cars
12
I 9
394
i 7
Coupling or uncoupling air hose
13
2
175
08
Operating locomotives
7
I.O
1,406
6.1
Operating hand brakes
18
28
824
36
Operating switches
245
i.i
Coming in contact with fixed structures
18
2.8
232
I
Getting on or off cars or locomotives
28
43
1,879
82
Highway grade crossing accidents
13
2
33
O.I
Struck or run over, not classifiable above
165
2 5 .6
179
0.8
Miscellaneous
122
l8 9
3,652
15-9
Non-train accidents
156
242
13,521
58.9
Source; United States, Interstate Commerce Commission, Bureau of Statistics. Accident Bulletin, 10.
Encyclopaedia of the Social Sciences
74
a drop of 68 percent over the same period for
ill employees in industry It is abundantly clear
from these figures that a remarkable decrease m
accident hazard to railroad employees has been
achieved during the past decade in the United
States. The causes of accidents to employees on
duty on American railroads in 1931 are given in
Table n
The prevention of accidents has long occupied
the attention of both the railroads and the public
authorities. Governments in particular have
taken steps to safeguard passengers and em-
ployees. In the United States regulation was at
first wholly in the hands of the states, v,hich
passed laws requiring signboards at public
crossings, limiting the speed of trains and pre-
scribing the use of bells, lights and the like In
1882 Connecticut enacted a measure regulating
safety appliances, and New York followed in
1884. With the passage of the federal Safety
Appliance Act of 1893 the federal government
entered this field, laying down requnements for
the use of power brakes and automatic couplers.
Other important milestones in federal safety
legislation were the following: the law of 1910,
requiring efficient hand brakes and sill steps; the
Accidents Reports Act of 1910, providing for a
report by the railroad, under oath, of the cause
of each accident as well as for an investigation
by the Interstate Commerce Commission wher-
ever necessary; the Hours of Service Act of
1907, limiting the hours of consecutive duty of
any employee to sixteen, except in cases of
emergency; the Ash Pan Act of 1908, stipu-
lating that locomotives be equipped with auto-
matic devices for emptying and cleaning the ash
pans and thus eliminating a type of accident
which often occurred during cleaning; the Boiler
Inspection Act of 1911, which was later ex-
tended to cover all defects in locomotives; and
the Transportation Act of 1920, by which the
Interstate Commerce Commission was author-
ized after investigation to require the installation
of automatic tram control and stop devices.
As a result of these laws the commission re-
ceives reports on all railroad accidents, inspects
locomotives and cars, investigates the causes of
all major accidents and publishes accident sta-
tistics. The annual reports of the Bureau of
Safety, which is responsible for inspection, indi-
cate the results of its inspections of railroad
equipment and the progress of the work of
installing automatic train control devices. Ac-
cording to the report for the fiscal year ended
June 30, 1932, 11,538 miles of road, 20,562
miles of track and 9318 locomotives have been
equipped for automatic control.
The efforts of the railroads themselves to
lower accident rates have included the establish-
ment of safety divisions and the inauguration of
safety contests between the different roads. Per-
sonnel policies designed to prevent accidents,
for example, the elimination of color blind per-
sons from employment as engineers or firemen
and insistence upon abstention from alcoholic
beverages, were early adopted as routine pro-
cedures. The favorable result of all these meas-
ures taken as a whole is shown in the statistics
already presented.
ROBERT M. WOODBURY
See ACCIDFNTS, ACCIDENTS, INDUSTRIAL; MOTOR VE-
mc'iE ACCIDENTS, SAFETY MOVEMENT; RAILROADS;
ROADS, EMPLOYERS' LIABILITY.
Consult United States, Interstate Commerce Com-
misbion, Accident Bulletin, nos i-ioo (1902-32), and
Bureau of Safety, Report of the Director, 1913/14-
1932/33 (1914-33), Great Britain, Ministry of Trans-
port, Railway Accidents, published quarterly since
1870, International Labour Office, "Methods of Com-
piling Statistics of Railway Accidents," Studies and
Reports, Ser N, no 15 (Geneva 1929), Hsieh, W. L ,
Railroad Safety Problems, Federal Safety Legislation
and Administration (Shanghai 1930), Wilson, H R,
The Safety of British Railways (London 1909), and
Railway Accidents, Legislation and Statistics, 1825 to
1924 (London 1925), Patterson, F D , "The Accident
Problem of the Railroads" in International Congress
on Hygiene and Demography, isth, Washington,
1912, Transactions, 6 \ols (Washington 1913) vol v,
pt i, p. 149-64; Stockert, I/udwig von, Eisenbahn-
unfalle em Bettrag zur Eisenbahnbetnebslehre, 2 vols.
(Leipsic 1913), and n s , 2 vols (Berlin 1920), Grub,
Anton, "Zur Psychologic der Eisenbahnunglucke und
Eisenbahnunfalle" in Archiv fur die gesamte Psycho-
logic, vol Ixix (1929) 207-82.
RAILROAD RATES. See RAILROADS.
RAILROADS
GENERAL. Among modes of transport, as seen
in the perspective of history, the railroad is con-
spicuous by virtue of its conjunction of excep-
tional technical merits with the unique service
opportunities afforded it by the industrial revo-
lution. Canals and improved roads served toler-
ably well the youth of modern industry during
the late eighteenth and the early nineteenth cen-
tury, but speed, cheapness and ubiquity unat-
tainable by these means were essential to that
free movement of materials and that expansion of
markets required by the matured transformation
of industrial processes. In Great Britain the suc-
cessful experimentation with steam tractive
power during the 1820*8 elicited an eager re-
Railroad Accidents Railroads
75
sponse; numerous bills authorizing railroad con-
struction were speedily presented for parlia-
mentary action, and the British railroad net was
shortly in course of development. On the Euro-
pean continent the lag in industrial change was
reflected in a qualified enthusiasm for the new
transport agency; but with a larger measure of
state participation and with greater regard for
the railroad's significance as an instrument of
political strategy and national defense, extensive
railroad construction also followed without long
delay. But the role of the railroad as handmaiden
of the factory system in the older countries was
less striking than its use in the exploitation of
vast undeveloped areas throughout the world.
The early successes in England exerted their
strongest influence in the United States A
substantial westward movement to the fertile
lands of the interior began before 1800 and grew
rapidly after the War of 1812. To weld the
economy of the frontier and of the developed
coastal areas into effective unity, however, was a
task made formidable not alone by distance but
by mountain barriers as well. Turnpike con-
struction, even under the stimulus of federal aid,
could provide no economical outlet for the bulky
products of the west. The Mississippi-Gulf
route was long and hazardous, and the Ap-
palachians were not to be traversed by artificial
waterways. The one direct sea level route, ex-
ploited through completion of the Erie Canal in
1825, demonstrated by its success the impor-
tance of western commerce; and the rise of New
York challenged such rival centers as Baltimore
and Philadelphia to establish western connec-
tions. An extraordinary opportunity existed for
the railroad to show its worth. Of the early con-
struction projects the majority were modest in
purpose; only a few embraced this larger vision.
But as the practicability of rail transport was
established, no undertaking was too grandiose
to claim support, and the railroad became the
major instrument in subduing the continent.
The example thus set in North America was
followed, in a manner hardly less striking, in
opening to commerce vast areas in Asia, Africa,
Australia and South America.
The assignment of any date to mark the be-
ginning of rail transportation must be arbitrary.
In a technical sense the railroad sprang, during
the first third of the last century, from the union
of two fairly distinct lines of development. One
of these, the use of rails to ease the movement of
wheeled vehicles, had been proceeding in Eng-
land for two hundred years in connection with
mine and quarry operations. The other, the ap-
plication of steam power to road vehicles, dates
probably from the appearance of Nicolas Cug-
not's steam carriage on the streets of Pans in
1769, the year of Watt's successful stationary
engine. The rails, originally made of wood,
underwent numerous modifications through the
addition of wear resisting plates and of flanges to
keep wheels in place, the flanges being trans-
ferred in due course to the wheels; from 1767
they were extensively made of cast iron and from
1800 of wrought iron, which proved able to
sustain the impact of steam locomotives, al-
though in America, well into the railroad era
proper, reasons of cheapness led to the use of
wood and even of granite rails stripped with
metal. Vehicles on the early railroads or tram-
ways were pulled by horses, or the loaded move-
ment was by gravity with the return effected by
stationary engines; but from 1800 there began
experiments to adapt steam driven vehicles to
rail use. During the first quarter of the century
a solution was found for such elementary prob-
lems of locomotive construction as the main-
tenance of adequate boiler pressure and the ad-
hesion of wheel to rail without the use of cogs;
and some use vas found in colliery service for
the low speed locomotives that were built.
But rails and steam do not make a railroad. In
a functional sense the railroad originated only
when the physical instrument was employed as
an agency of public transportation service and
not as a mere plant facility. A tramway was
chartered for public use m England as early a
1801; and before it was clear what the motive
power would be, a number of railways designed
for general use were under \vay both in England
and in America. Of these the English Stockton
and Darlington Railway employed a Stephenson
locomotive in 1825 to haul thirty-four cars at a
speed of fifteen miles per hour; it undertook the
general carriage of coal for a group of neighbor-
ing collieries and derived some additional busi-
ness in moving merchandise and passengers.
But it was the Liverpool and Manchester Rail-
way, after conducting the Ramhill competition
of 1829 won by the "Rocket," George Stephen-
son's great engineering success, which drama-
tized the promise of the steam railroad as a
general transportation agency. That same year
the first British built locomotives tried out in the
United States were found to be excessively
heavy for the light track construction. But loco-
motive building was under w'ay in America and
from the successful demonstration of Peter
Encyclopaedia of the Social Sciences
Cooper's "Tom Thumb" in 1830 proceeded
rapidly, with a considerable export movement
by the end of the decade. The Baltimore and
Ohio Railroad, chartered in 1827 an< ^ opened
with thirteen miles of line in 1830, which ex-
perimented at the outset with horses and even
with sails as means of power, was shortly com-
mitted to the steam locomotive; while the
Charleston and Hamburg Railroad, opened in
1831, was expressly designed for steam power.
With the basic features of rail transportation
thus established, progress along technical and
operating lines was rapid In America the weight
of locomotives was doubled during the first
decade, and the distribution of weight was
greatly improved during succeeding years.
Speed increased from the phenomenal twenty-
nine miles per hour of the "Rocket" to sixty
miles by mid-century. Cars were specially de-
signed for rail service; and the passenger carriage
in particular lost its early stagecoach charac-
teristics and evolved in the direction of the
modern vehicle, with its improved springs,
trucks, axle bearings, couplers and comfort
yielding accommodations. In the roadway corre-
sponding developments occurred Grades were
reduced, curves flattened and flimsy structures
replaced, although in these respects the stand-
ards maintained in America were behind those
established in Great Britain and on the Euro-
pean continent. Rails were increased in weight
and improved in design, especially in the
manner of their attachment to ties, or sleepers,
and toward the end of the century came pre-
dominantly to be made of steel. The multi-
plicity of gauges which appeared with the early
construction of disconnected lines was gradually
reduced, although it required the Civil War in
America to demonstrate the supreme impor-
tance of a standardized gauge and a free inter-
change of cars. Similar progress was made in the
handling and dispatching of trains, as required
by growing traffic. Numerous experiments in
signaling intervened between the man on horse-
back who preceded the trains of the Stockton and
Darlington Railway and the block system of the
i86o's. Telegraphic dispatching was a revolu-
tionary innovation about 1850; and the auto-
matic air brake, introduced in 1872, contributed
greatly to the safe and effective handling of
heavy trains. Along with marked improvements
in recent years in the efficiency of steam loco-
motives has come a substantial use of electric
traction, especially in congested areas, but to
some extent also under mountainous conditions.
These qualitative changes surrounding the in-
fancy and youth of rail transport were fully
matched as to quantity by the spectacular spread
of railroad lines, first in Europe and North
America, then throughout the world. The
growth of line mileage by thirty-year periods,
classified on the basis of continental areas, is
shown by Table I. It is apparent that during the
TABLE I
THE GROWTH OF RAIL LINE MILEAGE, BY CONTI-
NENTAL AREAS
1840
1870
1900
1930
North America
2954
56,106
223,454
319,100
Europe
1818
65,192
176,179
261,545
Asm
5,086
37,47
82,487
South America
1,770
26,450
58,809
Africa
I, IIO
12,499
42,450
Australasia
1,097
14,922
30,822
Source Adapter! from Arcktv fur Euenbahnwesen, vol xxxv
(1912) SS2-S6. and vol Ivl (I9J3) 6
early decades the settled nations of Europe
engaged in railroad construction to about the
same aggregate extent as the people of North
America, but that the rest of the world was
scarcely touched by rails until 1870. In Asia,
Africa, Australasia and South America the rate
of growth since that time has been rapid, with
more than half the mileage appearing since 1900.
But in absolute amount the greatest construc-
tion, at least until quite recently, has continued
to occur in Europe and North America, leaving
the former with 33 percent and the latter with 40
percent of the world's mileage in 1930.
Despite that larger hope of penetrating the
interior which inspired the Baltimore and Ohio
Railroad project, early construction in the
United States consisted mainly of small, de-
tached segments of line intended chiefly to sup-
plement water routes and to connect nearby
towns. The railroad's transition from a modest
adjunct of coal mining to the instrument of a
comprehensive transport system was not abrupt.
The network grew at first by small accretions of
limited purpose. In England the proximity of
major cities led as early as 1840 to the comple-
tion of lines between such centers as London,
Birmingham, Manchester and Liverpool; and by
1850 the principal routes of the present day were
well established. In similar manner a network of
lines developed in the more populous eastern
states of the United States at an early date, and
soon after 1840 Albany was united with Boston
on the east and Buffalo on the west by series of
short lines. But to build railroad^ into the thinly
settled areas west of the Appalachians to con-
Railroads
77
struct lines in the hope thereby of attracting the
population and the industry necessary for their
support involved great daring; the extension of
the rail network in a few decades over the entire
American continent must be regarded as one of
the outstanding examples of human enterprise.
By 1850 much building had occurred in the
middle west, and soon thereafter Chicago was
connected with the Atlantic seaboard; while in
the south lines reached from Atlanta to the Ohio,
the Mississippi and the Atlantic. Construction
continued into the farther west, and in 1869
occurred the most spectacular single event in
American railroad development the joining
near Ogden, Utah, of the Union Pacific and the
Central Pacific to form the first transcontinental
route. Progress had gone far; but to the 53,000
miles of line built in the United States during
the first forty years of the railroad era there were
added 200,000 more during the next half cen-
tury, the zenith of construction activity being
reached during the i88o's. Six more transcon-
tinental lines, including two in Canada, were
built across the western plains and through the
Rockies; while further construction in the east
and south afforded access to nearly all useful
portions of those areas. From 1910 the construc-
tion of new lines subsided, and after 1920
abandonments exceeded new construction, al-
though the capacity of existing lines continued
to expand to meet the needs of traffic.
If economic immaturity hampered railroad
enterprise in America, in Europe the obstacles
sprang from established usages, vested interests,
high land values and the conservative temper of
an older community and business life. Less
stirred than England by the industrial revolu-
tion, Germany and France proceeded somewhat
more slowly with railroad construction; but the
mileage in these and in a number of other
European countries was considerable by 1850,
although at that time the ultimate framework of
their rail systems was less clearly indicated than
in Great Britain. When comparison is made, on
the basis of their present development, between
the railroad network of these old and densely
populated European areas and that of the United
States, it is apparent that the line mileage of the
latter country (and likewise of Canada, Australia
and Argentina) is much greater in relation to
population served than is the case in Europe, on
the other hand, the European network covers
with a much finer mesh the area it serves.
European enterprise in railroad building like-
wise projected itself into every industrially
backward section of the earth, supplying much
of the capital invested in the United States and
actively undertaking construction m Canada,
northern and southern Africa and South Amer-
ica. India was given one of the great railroad
systems of the world; the Trans-Siberian Rail-
way was pushed across the vast expanse of
northern Asia to connect Europe and the
Pacific; and the Berlm-to-Bagdad Railway was
built into the Near East. With China's per-
mission Russia constructed the Chinese Eastern
Railway across Manchuria; while Japan not only
built a large mileage at home but also entered
China by constructing the South Manchuria
Railway to connect the Chinese Eastern with
Port Arthur. Table n indicates the line mileage
of the principal countries of the world for 1930.
TABLE II
RAIL LINE MILEAGE OF PRINCIPAL COUNTRIES OF THE
WORLD, 1930
Argentina
23,756
Australia and New Zealand
30,821
Austria
5.0Q5
Belgium
6,893
Brazil
19,720
Canada
42,626
Chile
5,542
China
8,426
Czechoslovakia
8,553
Denmark
3,287
Egypt and Sudan
4,894
France
39,55
Germany
36,402
Great Britain and Ireland
24,414
Hungary
5,Q2i
India
41,481
Italy
13,049
Japan
17,142
Jugoslavia
6,222
Mexico
16,443
Netherlands
2,298
Norway
2,407
Poland
12,853
Rumania
7,424
Russia
47,867
Spam
10,139
Sweden
io,445
Switzerland
3,746
Union of South Africa
12,602
United States
249,052
Stninc Committee on Public Relatior
is of the Eastern Rail-
roads, Yearbook o) Railroad Information
i (New York 1933) P
Such evidence of continued railroad construc-
tion suggests how eminently successful a trans-
port instrument the railroad proved to be. In
view of the part it played in the great economic
developments of the nineteenth century the
traffic which it came to carry was mainly new
traffic not previously moved by any other
78
Encyclopaedia of the Social Sciences
method. At the same time the railroad largely
displaced such other transport agencies as were
not effectively protected from its competition.
During the eighty years following 1750 the turn-
pike had assumed an important commercial role;
but as rail lines were built, road transport came
to possess a purely local significance. A few
rivers, like the Rhine, retained their worth, and
by heavy subsidies and protective legislation
France and Germany were able to maintain the
use of their canals. But the United States, de-
spite large outlays on canals and the apparent
success of some of them, turned as early as 1840
to the railroad as its most promising means of
transport. For some time traffic continued to
grow moderately on the Erie Canal and the
Mississippi, and not until about 1880 did an
absolute decline set in. But by 1870 the railroads
of New York state had passed the canal in
tonnage carried and by 1900 had outstripped it
ten times over; and a substantially parallel shift
in traffic occurred in the Mississippi valley.
Water transport except on the Great Lakes and
in coastwise vessels became negligible. There
was thus established for the railroad a position
of dominance which remained unchallenged
until the i92o's.
To bring about so striking a development, at
least in a time so short, private enterprise how-
ever dynamic was not enough; in most countries
government in one way or anothef lent its active
support to railroad building. England alone
seems to have depended wholly on private capi-
tal and private initiative. In France the govern-
ment provided rights of way, guaranteed interest
on railroad obligations and undertook some
direct construction Many of the German states
built their own lines, and private undertakings
were often subsidized. The first railroad build-
ing in Belgium was a state enterprise. In Austria
at the beginning the government opposed rail-
road construction, but it was shortly subsidizing
private roads and building lines itself. The out-
lays of European capital in establishing railroads
in the Latin-American countries were largely
encouraged by public subsidies and guaranties.
Early construction in India was similarly pro-
moted, although here, as in Australia and South
Africa, rail lines have largely resulted directly
from state enterprise. The unique relation of
transport development to the total economic
structure as well as its bearing on political
cohesion and military need served in practically
every country to induce a generous collective
interest in railroad building.
Such was the case in the United States. De-
spite the opposition of persons engaged in road
and water transport activities and accessory oc-
cupations, a powerful popxilar enthusiasm for
railroad construction led, from the first decade
of the railroad era, to extensive governmental
aid. Towns and counties donated sums of
money, provided terminal sites and made other
land grants in addition, to guaranteeing railroad
bonds or exchanging their own for them. States
subscribed to the stock of railroad enterprises,
guaranteed their bonds and made liberal loans in
addition to allowing tax exemptions, providing
convict labor and contributing millions of acres
of land. Pennsylvania, Virginia, North Carolina,
Georgia, Michigan, Illinois and Indiana engaged
directly in the construction and operation of
lines, although subsequently they withdrew in
favor of private interests. The federal govern-
ment had contributed extensively to internal
improvements during the first quarter of the
century, but no substantial aid was given the
railroads until after 1850 From that time and
until 1871 federal land grants were made to the
railroads, both directly and through the states,
which totaled over 150,000,000 acres. Not all of
these grants were taken up, because of failure to
meet attached conditions; and the roads receiv-
ing land assumed obligations to carry govern-
ment troops and supplies and mail at reduced
rates. Direct financial aid of substantial amount
was also extended to the early transcontinental
lines.
It is not feasible either to estimate the total
subsidy received by American railroads or to ap-
praise the extent of the responsibility of subsidy
for their development. Certainly government aid
accounts for only a very small fraction of the
total investment to date, although in offsetting
the early hesitancy of private funds its impor-
tance was great. On the whole it seems proper to
regard the railroads of the United States as an
impressive product of private enterprise, since
despite public aid the difficulties faced and the
risks assumed were exceptional. On the physical
side there have been few more striking accom-
plishments than the construction of railroads
across the plains and through the forests and
mountains of North America; and on the finan-
cial side the commitment of vast sums for serv-
ing traffic, the emergence of which was largely
dependent upon the railroad itself, constituted
enterprise of the most speculative type. During
the early decades of railroad construction private
financing was accomplished mainly through the
Railroads
79
sale of securities to persons, often of small
means, living in the immediate localities to he
served. But from about 1860 railroad finance be-
gan to assume those more spectacular features
which made it the dominant element in the
operations of the larger financial centers From
the time when railroad construction began
seriously to penetrate the western portion of the
country, to assume proportions beyond the
scope of local resources and to attract millions of
European capital, and with the appearance of
large dealings in railroad securities by Vander-
bilt, Drew, Fisk, Gould and other so-called
magnates the financing of railroads began to
color the whole of the nation's financial life. It
is anomalous that the scores of individuals who
pioneered, along engineering and business lines,
to spread the railroad net and establish effective
service who, by their enterprise, made the rail-
roads possible are less well known than the
outstanding manipulators of share control in the
security markets But in considering the second
major phase of railroad development, the com-
bination into systems of the scraps of line
originally built, it is not improper to assign the
magnates a prominent if not always a creditable
place.
However admirable the enterprise of early
builders, their efforts were often ill suited to the
broader needs of national and international
commerce. The connection of widely separated
producing and consuming areas was at first the
incidental result of the joining of intermediate
points; it is not surprising that private builders,
whether or not they envisaged the potentially
profitable traffic between remote termini, should
have laid their plans with reference mainly to the
more certain traffic near at hand. Nor can it be
said that the influence of government generally
reflected a broader vision. State and local sub-
sidies in the United States, stimulating efforts
to secure a maximum of public aid, definitely
promoted irregularity of layout. The railroad
activities of the small German states were
governed by strictly local interests. The ele-
mentary essential of gauge uniformity was over-
looked in the construction of state systems m
Australia. France alone seems to provide a clear
example of railroad development in conformity
with an early plan of national scope, although in
many countries the later construction, whether
directly by government or with public aid and
guidance, disclosed broad visioned economic or
political design. A highly critical view need not
be taken of the more spontaneous sort of railroad
development, since all ambitious planning has its
dangerous side and since the magnificent energy
and adaptability of private enterprise offset its
limited outlook But it must be recognized that
early construction provided merely the raw
material -and often a highly resistant raw ma-
terial with respect to both location and technical
features for the creation of larger systems de-
signed to meet the broader needs of commerce.
By the process of combining binall railroads into
large there were developed not only the great
private systems of Great Britain and the United
States but also the public systems of Germany
and India
In the United States the process whereby the
disconnected short lines of the mid-nineteenth
century came to form the large systems of the
early twentieth was extremely varied in motive,
method and result. At a time when potential
end-to-end connections were often dissimilar in
gauge and when, even if they were not, there
existed a complete absence of those inter-system
arrangements necessary to effective through
sen-ice, the obvious way to improve operations
over a series of lines was to bring them under
common ownership. Opposing influences were
the hostility of local producers to competition
from a distance and the early difficulty of
managing successfully a road more than one
hundred miles long. But cnd-to-end combina-
tions had been proceeding inconspicuously be-
fore the formation in 1853 of the New York Cen-
tral, which brought together the lines between
Buffalo and Albany, and it is probable that by
1870 as many as fifty combinations, each com-
prising from two hundred to one thousand miles
of line, had been organized. By that time the
construction of western lines was proceeding in
original segments of substantial length. These
combinations were accompanied by the longer
distance movement of traffic, which in turn
introduced a degree of competition not pre-
viously present. Small local roads might have a
fairly complete monopoly; but as important
centers were connected by more than one com-
bination of roads, there arose a competition
which was often bitter and destructive. It is a
curious fact that the end-to-end combinations
productive of this competition were themselves
promoted by it. As long distance traffic in-
creased, a road, to possess any sense of security,
had to be assured of a share of interchange
traffic at junction points; and where there were
rival claimants to this traffic, such security could
come only through control of the connection.
Encyclopaedia of the Social Sciences
80
This was and is today a leading consideration,
more potent than reasons of service and opera-
tion, in promoting the combination of connect-
ing lines; and it also accounts for that frantic ex-
tension of lines to tap every important source of
traffic which characterized competitive railroad
construction well into the present century.
Under such pressure, however, railroads were
combined not only so that they might be more
effective competitors but also in order to reduce
the severity of competition. To the ruinous rate
cutting which accompanied bitter rivalry for
limited traffic the natural response was for
parallel roads to act in concert. During the
1870*8 and i88o's, when competition was most
severe, this reaction manifested itself less in an
endeavor to effect unification under common
ownership than in agreement by independent
lines to refrain from destructive rivalry. Rates
were maintained by cooperative action; and in
order to remove the incentive to rate cutting
pooling arrangements were established, defi-
nitely fixing the respective shares of rival roads
in competitive traffic or revenue. The principle
was applied in all parts of the country, some-
times to specific traffic movements and some-
times, as in the case of the Southern Railway and
Steamship Association, to wide areas. A genuine
need was met; but in the power thus to maintain
rates on a compensatory level lay the possibility
of exacting extortionate charges, and the public,
traditionally hostile toward every form of mo-
nopoly, protested. In consequence the Act to
Regulate Commerce, passed in 1887 in response
to a swelling spirit of indignation against railroad
abuses, not only provided for federal regulation
of rates but declared unlawful the formation of
pools, which were deemed to be a fruitful source
of excessive charges Pooling arrangements were
thereafter largely terminated, but the coopera-
tive determination of rates by traffic associations
continued. In 1897, however, the Supreme
Court construed the Sherman Anti-Trust Law
as prohibiting railroad combinations of this
character; and the railroads, if they were to re-
main independent from the standpoint of owner-
ship, were thus deprived of any lawful means of
reducing the excesses of competition. But since
the belief was widely held that they might ac-
complish by corporate combination what was
denied them through loose association, there
occurred during the two decades following 1887,
for purposes of effecting concentration of con-
trol, transactions of enormous magnitude in the
ownership of railroad securities.
A false impression of the course of railroad
combination would be gained, however, if it
were viewed wholly in the light of operating and
competitive considerations. This was the period
when the goals of power and profit attainable in
the field of corporation finance were first clearly
recognized, and to this field were attracted some
of the most ambitious and dynamic personalities
in the business world. Railroads provided es-
pecially attractive opportunities for their opera-
tions. Despite its speculative and often fraudu-
lent aspects the financing of new construction
was fairly prosaic compared with vast dealings in
the securities of roads already built, the pur-
chase and manipulation of control of large mile-
ages and the creation of ever expanding railroad
systems. In the railroad field as throughout all
industry the combination movement gained
sharp momentum toward the end of the century,
and there developed a popular faith in the magic
of large corporate aggregates which was but
loosely related to any technological considera-
tions which might justify them. During lean
years competition for traffic was most severe and
combination had most to contribute; but it was
in such periods, as after the collapse of 1893,
that railroad systems fell apart. When prosperity
prevailed and confidence was high, on the other
hand, securities were readily sold in enterprises
of every sort, and dreams of railroad empire
were consummated with amazing ease by the
leaders in railroad finance Railroad combination
must be viewed therefore in terms not only of the
economics of the industry but of the outlook, the
ethics and the psychology of the period of its
development.
Under these several influences, variously
operative in connection with particular combi-
nations, the railroads of the United States dur-
ing the first decade of this century approached
more nearly a condition of territorial monopoly
than at any time in their history. The Pennsyl-
vania system achieved great size while retaining
solidity and developed a compact structure both
physically and financially. Similarly the New
York Central system was shaped as an excellent
service medium, although some of its elements
were for some time held together rather loosely.
After 1900 these two systems attained a working
control of the other important lines in the east-
ern trunk line territory. By a purchase program,
which, however, turned out to be disastrously
extravagant, the New Haven for a time came to
dominate all transportation, rail and water, in
New England; while in the south a chaotic col-
Railroads
81
lection of lines was brought through Morgan
leadership under the control of two Urge and
closely allied systems. In the northwest James
J. Hill, both a builder and a financier, first
brought the Great Northern and the Northern
Pacific together through common ownership of
the Chicago, Burlington and Qumcy Railroad
and then effected their complete control through
the organization of the Northern Securities
Company. This move was fought vigorously but
unsuccessfully by E. H. Harriman, who, after
acquiring and rehabilitating the Union Pacific,
aspired to complete monopoly in the west.
Harriman did succeed, however, m extending
his sway over the central and southern trans-
continental lines; and even without including a
large mileage, especially in the east, in which the
Union Pacific obtained substantial minority
interests, he controlled at the time of his death
in 1909 a railroad empire approaching 111 extent
the 25,000 miles of the Hill domain A collection
of properties in the southwest, including the
Missouri Pacific, long subject to the depreda-
tions of Jay Gould, became the sickly nucleus of
a loose aggregate of 19,000 miles of line, stretch-
ing nearly from coast to coast, which quickly fell
apart under the impact of the depression of
I007 '
Among the important combinations in which
railroads have been involved are those connect-
ing them with traffic producing industries and
with other transport agencies. Many railroads
have been built as part of lumbering and mining
activities, and a few important carriers, as, for
example, the roads owned by the United States
Steel Corporation, continue to be run by enter-
prises which they largely serve. But m such
relationships the carrier has more commonly
been dominant; and in the outstanding instance
of anthracite coal a group of railroads, in quest
first of traffic control and later of excessive
profit in selling the product, created a situation
which has figured prominently in the records of
industrial monopoly. The movement toward
monopoly in transportation led to railroad in-
vestment in canal routes, to extensive ownership
of Great Lakes shipping and to control of coast-
wise services. More recently the railroads have
been entering the fields of air and highway trans-
portation. Except in the latter instances the
public has generally been hostile toward exten-
sions of the railroad sphere, and legislation nas
been enacted to curtail them. In 1906 the "com-
modities clause" of the Hepburn Act forbade
the carriers to transport revenue traffic, except
lumber, produced under their control; and the
more direct instances of such relationships have
disappeared. Likewise in 1912 the Panama Canal
Act required the removal of railroad control
over shipping lines competing with the railroads
through the Panama Canal, and in other places
where the effect of the control was markedly to re-
strict competition; and provisions were included
calculated to strengthen water competition.
As for the movement toward monopoly
among the railroads themselves, a decline set in
during the early years of the century. The deci-
sion of the Supreme Court in the Northern
Securities case in 1904 that corporate combina-
tion, even through the holding company device,
was subject to the Sherman Law led to the
paring down of systems and the sale of equities
in parallel lines. An unfavorable judgment
brought the dissolution of the Union Pacific-
Southern Pacific relationship; and voluntary ac-
tion anticipated judicial procedure in other
cases Not only was the public aroused by the
menace of monopoly in all fields, but adverse
business conditions undermined fair weather
financial arrangements and there was no dispo-
sition to assist in new financing Despite the
alliances that had prevailed railroad rivalries
were pronounced. Within the limits set by pub-
lic regulation of rates the struggle for traffic was
severe, and an individualistic spirit character-
ised railroad management, which precluded
even such joint action as might have been lawful
in the direction of effecting a more highly co-
operative and systematic conduct of transporta-
tion In the emergency created by the World
War the attempt at voluntary cooperation under
the Railroads' War Board proved inadequate;
and it was deemed necessary at the end of 1917
to establish complete unification under federal
control For twenty-six months the carriers were
operated as a single system by the United States
Railroad Administration, rolling stock and other
facilities being used \\ithout regard to ownership
and the movement of traffic being controlled in
the public interest. Because the increase in rates
fell short of the increase in costs, the Railroad
Administration failed to earn the rental guaran-
teed the owning corporations; but the prime
purpose of achieving a free movement of traffic
was successfully accomplished. I* was thus
demonstrated that a degree of unity and system
might at times be required in the railroad indus-
try greatly surpassing the results achieved
through the adaptations of private enterprise
within the restrictions set by law; and for normal
Encyclopaedia of the Social Sciences
82
times as well it appeared to many that a radical
modification of the older arrangements was de-
sirable.
In spite of some effort to retain the railroads
in public hands as a nationalized industry the
political sentiment favoring a return to private
ownership and operation was dominant, and the
Transportation Act of 1920 so provided. At the
same time provisions were adopted looking
toward a more effective organization of rail
service, in the interest primarily of solving the
problems of the weak roads and achieving
economies. The past insistence upon competi-
tion was modified to the extent of allowing the
Interstate Commerce Commission to authorize
pooling arrangements and under emergency
conditions to require the common use of facili-
ties. The commission was also granted compre-
hensive powers of supervision over more per-
manent mter-carrier alliances. Combinations
through purchase of securities or lease of lines
were to be carried out only upon the commis-
sion's approval; and combinations involving the
outright consolidation of properties were to be
undertaken only in accordance with a compre-
hensive plan to be prepared by the commission.
In this plan the roads were to be assigned to
systems of substantially equal strength, and
wherever practicable the existing channels of
trade were to be maintained On the basic issue
of competitive relationships Congress saw fit to
maintain its accustomed position, the systems
proposed by the commission were to preserve
competition as fully as possible The preparation
of such a plan was an undertaking of over-
whelming difficulty, and relief from the duty
was vainly sought by the commission. In a
somewhat halfhearted manner and merely as a
procedural step a plan was published in De-
cember, 1929, which called for consolidation of
the railroads of the United States into twenty-
one systems.
Following 1920 there were numerous in-
stances in which systems were extended or
rounded out or rearranged through acquisitions
of control; and in some cases the inclusion of
weak lines was made a condition of such acquisi-
tions. The most spectacular episode of the dec-
ade was the creation by the Van Sweringen
brothers, largely through a succession of holding
companies, of effective control over about
25,000 miles of line. The combination lacked
official approval and, along with other in-
stances of holding company control, revealed
a gap in the commission's power arising from
the restriction of its jurisdiction to operating
companies a gap filled in 1933 by the exten-
sion of its authority to all methods of effecting
control over carriers. In the matter of outright
consolidation little progress has been made, al-
though the commission has consented to the
modification of its plan for eastern territory
along lines upon which it seems that the rail-
roads may agree. Any public plan of system
formation which relies on voluntary action for
its achievement must necessarily be slow of
execution, since on the whole the motives which
lead carriers voluntarily to combine do not
correspond closely to public aims. Improved
service and general prosperity during the 1 920*3
obviated serious criticism of system organiza-
tion; but with the railroads largely dependent
upon public funds during the ensuing depres-
sion agitation was resumed, emphasis being
placed more definitely than before on matters of
economy, for an extensive reorganization of the
railroad system. As an emergency measure the
president was authorized in 1933 to appoint a
federal coordinator of transportation to assist the
carriers in the cooperative attainment of econ-
omies
The movement toward more comprehensive
units, as thus traced in some detail for the
United States, has made itself felt in all other
countries In Russia, Germany, India, Aus-
tralia, Union of South Africa, Canada, Mexico,
Italy and elsewhere much or most of the mileage
has been combined into state systems. Outside
the United States nearly 60 percent of the
world's mileage is state owned. In some cases
state lines have been leased to private companies
to operate. Public ownership moreover may
mean, as in Germany since 1920, a single unified
system or, as in Australia, a collection of pro-
vincial monopolies or, as in Canada, a public
enterprise in competition with private com-
panies. In France the early policy of territorial
monopoly has been continued, with public pro-
vision of roadways and structures and a guaranty
of operating returns. In Great Britain rail-
road systems grew, as in the United States,
through private action; but because of less re-
strictive legal requirements, a greater density of
traffic and the more settled temper of the busi-
ness community competition never attained the
violence or produced the abuses prevalent for
some time in the United States. During the war
the British government assumed a close control
over the railroads, and in 1921 Parliament pro-
vided for a complete consolidation of lines into
Railroads
four systems laid out on a territorial basis. As
the new arrangement was compulsory it was
consummated speedily; but despite the contrary
intention inter-system competition has con-
tinued to be a potent influence in matters of
rates and service
In the course of both their original construc-
tion and subsequent combination into systems
railroads have disclosed financial features which,
while seemingly related to the strictly private
sphere of the investor, have nevertheless evoked
great public concern. Their capital arrange-
ments and financial policies influence the serv-
ices they furnish; and the very magnitude of
these transactions renders them a substantial
element in the total structure of the business
world. The carriers of the United States orig-
inated largely under conditions militating against
subsequent financial health. Under prevailingly
loose corporation laws roads could be and often
were built and operated in a manner imperiling
their solvency and the position of their investors,
while enabling a few individuals to reap great
fortunes. Railroad building was commonly
undertaken not by the railroad companies them-
selves but by separate construction companies
formed by those in control of the railroads,
under contracts strikingly profitable to the in-
siders In the case of the most notorious of these
ventures, the Credit Mobilier connected with
the building of the Union Pacific, $i 1 1 ,000,000
of securities was issued, according to W. Z
Ripley, "in order to raise $74,000,000 of cash, to
construct a railroad which actually cost about
$60,000,000." Thus a railroad might arise
through the operation of motives largely unre-
lated to the social purposes which might justify
it and enter life borne down by the millstone of
obligations it could scarcely hope to meet Once
under way, it might be administered not pri-
marily to yield service and reali/e income but, as
in the case of the early history of the line, to
enhance the profitableness of speculation in its
securities. Reports might be falsified, capital
outlays and current expenditures juggled, capi-
talization manipulated and funds gravely needed
for upkeep diverted to other ends. By such cir-
cumstances the unavoidable obstacles to railroad
prosperity in a new country were greatly en-
hanced; and while it must be recognized that the
industry was not as a whole subject to abuses of
the grosser sort, there has nevertheless been
great difficulty in throwing off the legacy of un-
sound finance and the suspicious popular atti-
tude generated by it.
The paucity of records of actual investment
in American railroads and the lack of connection
between capitalisation and investment render
uncertain, except for recent years, the amount of
capital by which the profitableness of railroad
investment may be tested. Without allowance
for overcapitalization then persisting it appears
that the net capitalization of American railroads
in 1906 was approximately $58,000 per mile of
line. Among individual carriers the correspond-
ing figure ranged from about $30,000 for a num-
ber of western roads to nearly $170,000 in the
cases of the Erie and the Reading. Unlike
physical conditions which surround construction
account for important differences, as do also the
widely dissimilar traffic conditions to be met;
but varying degrees of recklessness and con-
servatism in issuing securities and in actual ex-
penditures are quite as important factors. The
average capitalization per mile of line at this time
may appear low when it is noted that in Ger-
many it was twice as great, in France two and
one half times as great and in Great Britain four
times as great But in these European countries
a different type of construction had been
warranted, and \\hile, if one can judge from
earnings records, the outlay there may have
been somewhat too heavy assuming no over-
capitalization still the greater density of traffic
seems largely to have justified the difference.
Popular criticism of railroad finance in the
United States sprang mainly from the belief that
rates were fixed to yield a return on a grossly in-
flated volume of securities; and the Interstate
Commerce Commission, without further facts
as to the value of properties, felt itself seriously
handicapped in determining the reasonableness
of rates In consequence Congress, by passing
the Valuation Act of 1913, imposed upon the
commission the prodigious task of inventorying
all railroad properties and fixing a so-called
physical valuation for each carrier, an undertak-
ing which has since absorbed the greater part of
the appropriations Since 1906 capitalization per
mile of line has increased by about 33 percent.
Whatever its past significance as the device
and symbol of loose and corrupt financing, the
"watered" aspect of the railroad capital struc-
ture is of less present importance than the
character of the securities which make it up.
While British railroads incurred debts to the
extent of about one fourth of their capital and
private lines in South America, Egypt and else-
where largely follow the British pattern, the
capital of American roads has come mainly
84
Encyclopaedia of the Social Sciences
through sale of bonds. In the top heavy struc-
tures of early roads bonded indebtedness often
equaled or exceeded actual investment; and
while the building up of properties has reduced
the fractional importance of bonded debt in re-
lation to values, about 60 percent of the net
capitalization of all roads continues to be in that
form. Less than one third of the total consists of
common stock, while the small remainder is pre-
ferred stock, largely of a non-cumulative type,
which appeared in place of bonds in the process
of financial reorganization. Bonds have revealed
the infinite variety of which corporate financing
is capable, and the names assigned to issues have
often been designed to conceal their decidedly
junior status The debenture, secured merely by
a carrier's general credit and earning power, is
the principal encumbrance of British railroads,
but in the United States the practise has been to
secure bonds by hens on specific properties.
About four fifths represent mortgages on road-
ways and structures, either general or divisional;
and the next most important class of bond is the
equipment obligation, secured by cars and loco-
motives. Out of the intricate interrelationships
of railroad corporations has come another im-
portant type, the collateral trust bond, repre-
senting a lien on the securities of other roads.
The income bond, an anomaly whose claim to
interest is contingent upon the realization of
earnings, is another offshoot of the reorganiza-
tion process. While the extent of fixed obliga-
tions is a vital factor in the financial stability of
the private company, the capital structure is of
slight importance where railroads are a state
enterprise, even when in form a separate railroad
department or corporation is created, since the
treasury is finally available to support them.
Likewise it is of slight significance that French
railroads are capitalized almost wholly with
bonds, in view of the government's guaranty of
sufficient revenue to meet interest and dividend
requirements. In Germany a unique situation
was created in 1924, under the Dawes plan of
international settlement, when the previous debt
of the state railroad system, wiped out by
currency inflation, was replaced by a special
bond issue of 11,000,000,000 gold marks whose
service was to be on account of reparations. The
Young plan of 1929 removed this obligation.
Superficially at least it appears that American
railroads have been unwise in the extent of their
reliance on bonds for the provision of funds.
The amount of insolvency, produced mainly by
failure to meet interest and principal payments,
has been enormous. During the forty years
following 1875 the mileage falling into receivers'
hands approximated the total mileage of the
United States; some roads escaped but others
repeated the experience with each decline of
business In 1932 the aggregate of carriers, while
showing a substantial net operating revenue
after taxes, failed by a wide margin to earn their
interest requirements, and only the availability
of hundreds of millions in public funds averted
widespread default. It is true that this record
does not constitute without qualification an in-
dictment of the present capital structure of the
roads. Early failures were caused chiefly by over-
building and by the assumption of excessive
obligations in comparison with the slight volume
of available traffic. Competitive rate cutting, in
part the result of legislative prohibition of co-
operative action, produced a drain on revenue
in no way inherent in the railroad situation.
Mushroom combinations, created often by the
sale of bonds to the public for the purchase of
stocks m other carriers, represented a passing
condition, induced largely by an unreasoning
wave of optimism. Certain notorious failures
may be attributed directly to incompetent and
corrupt management. Moreover it may be said
that railroad capitalization need not normally be
constituted with an eye to such devastating
catastrophes as the collapse following 1929.
Despite these considerations, however, the debt
of the carriers seems a proper object of serious
criticism. In view of the specialized nature of
railroad property, which precludes its use for
other purposes, the practise of pledging assets to
secure bonds is of slight significance; financial
integrity depends wholly on earning power.
Since railroad traffic reflects a cross section of
general business conditions, it cannot be said
that revenues are protected by an exceptional
stability of demand, such as may justify the large
funded debt of some of the local public utilities.
Certain railroad expenditures are fairly inflexible
in the face of declining traffic; although after
1929, with a substantial postponement of up-
keep, expenditures paralleled revenues quite
closely. But even if the ratio of expenses to
revenues did not increase with falling traffic, the
absolute difference between them must con-
tract; and with taxes a large and rather inflexible
item, debt obligations easily become embarrass-
ing. For the carrier whose capital structure in-
volves the average amount of indebtedness and
whose earnings are no better than average, some
retirement of bonds is plainly desirable. While
Railroads
railroad capital was greatly increased during the
latter 1920*8 without appreciable increase in
indebtedness, sound policy would seem to re-
quire a definite reduction of debt when earnings
make possible repayment at maturity either from
revenue or from sale of stock; and when re-
organization is undertaken, a drastic curtailment
of fixed obligations is indicated.
But financial strength is a matter not only of
capital structure but also of earnings through
good years as well as bad. Indeed indebtedness
often results from lack of earnings. The view has
been widely circulated that repressive regula-
tion, involving a restrictive rate policy, has been
a major ailment of American railroads. It is not
easy by factual means to evaluate this view; but
on the whole it seems ill founded. It is true that
after 191 o in the face of rising prices the carriers
found difficulty in convincing the Interstate
Commerce Commission that rates should be
raised, and their credit doubtless suffered some-
what in consequence But in most years from
1900 to 1929 more than 6 percent, often sub-
stantially more, was earned on the stockholders'
equity by all carriers; and after 1920, while the
rate of return was only slightly improved, the
railroads were able on favorable terms greatly to
increase their capital and to command their due
share of new savings seeking investment. Be-
cause of peculiarities of the railroads' earnings
comparisons between them and other industries
have slight significance. Unlike manufacturing
enterprises, the several railroads do not cooper-
ate in supplying a single market with their
services and by competition weed out the least
effective of them; instead each earner has its
unique area which it must serve and upon whose
traffic it must depend. Under these circum-
stances aggregate or average earnings figures tell
little about specific roads. Probably despite low
general earnings all roads with any just claim to
additional capital could get it favorably. It is
true that, while certain carriers have been ex-
ceedingly remunerative investments, the buyers
of equities in railroads as a whole have not
realized the extensive returns that have come to
investors in some other fields. Railroad fortunes
came from construction activities and dealings
in securities. But this result may be explained
not only by the regulation of earnings but by the
excessive investment in an industry given arti-
ficial public stimulus. Moderate earnings seem
to have characterized the railroad industry in
most countries; and where state ownership pre-
vails, and in France under the system of guar-
anty, rail transportation has often been a sub-
stantial dram on the public treasury.
In the United States the roads' financial status
and policies have been touched at many points
by the hand of government. Following the sub-
sidies of early decades federal rate regulation
was inaugurated in 1887 and strengthened in
1906 and 1910, with the aim in part of prevent-
ing excessive carrier incomes; and this is still the
most significant form of control bearing on rail-
road finances. The close supervision of railroad
accounts, instituted in 1906, with the enforce-
ment of a high degree of publicity respecting
railroad affairs, has served primarily as a tool of
rate regulation but incidentally has checked un-
scrupulous speculation in securities based on
manipulation of accounts and reports. From
1907 the Interstate Commerce Commission
recommended that railroad security issues be
subjected to its control, both as an aid to rate
regulation and as a means of protecting the
credit of the carriers and the investors in their
securities from unsound financial practises; such
authority was granted in 1920. As a further
means of insuring financial stability power was
given the commission to veto proposed line ex-
tensions which might prove wasteful or destruc-
tive in effect, although a corresponding authority
was also granted to prevent abandonment where
carrier losses were outweighed by counter con-
siderations of public convenience and necessity.
With the extensive control established over the
combination of carriers into systems railroad
finance has been brought very largely under
public supervision, except in the matter of
dividend policy; but it may be noted that in this
respect too sharp criticism has been directed at
the carriers, particularly in view of their distri-
bution in 1931 in the absence of much evi-
dence of forthcoming economic betterment of
sums vastly in excess of current earnings.
Railroads touch the public most intimately,
however, not through their organization and
finance but through the specific services they
render shippers and travelers and the rates they
charge for these services. There is no pricing
problem more complex than that involved in the
sale of rail transportation of freight. American
railroads recognize some twenty-five thousand
descriptions of traffic, any item of which con-
ceivably may move from any one to any other of
many thousands of stations. The possible num-
ber of rates required is of astronomical propor-
tions. No simple principle, as that of applying
the same rate per hundred pounds to all the
Encyclopaedia of the Social Sciences
86
different commodities and the same rate per mile
to all the different hauls, would be theoretically
or practically acceptable. Even if there were no
other consideration involved than to spread the
costs of service as evenly as possible over all
traffic, the weight mileage basis would be bad.
Early railroads took over from wagon transpor-
tation the practise of charging on a space basis
for carrying low density commodities; and in a
much more discriminating fashion it is now
recognized that loading characteristics are as
important as weight in assigning charges. Ship-
ments in less than carload lots amount to less
than 2.5 percent of the tonnage of American
railroads, but they account for 25 percent of the
loaded cars, and they involve a disproportionate
part of clerical expense and terminal handling
Coal moving at extremely low rates is one of the
most remunerative forms of traffic. Commodi-
ties differ widely in the special services they
require and the loss and damage claims they
occasion. In the treatment of different hauls
rates proportional to distance received early ap-
plication and are still employed in passenger
transportation, but they depart widely from the
cost principle. Heavy terminal costs necessitate
rates tapering with distance, but to a diminish-
ing extent as the haul lengthens. Unequal
traffic densities and widely different capital and
operating costs on different routes likewise call
for recognition. Thus cost factors alone account
for a high degree of complexity in the rate struc-
ture; but despite their importance there are con-
siderations of another sort, springing from the
conditions which must be met in getting and
holding traffic, which have been of major sig-
nificance in the evolution of freight rates.
The outstanding characteristics of a railroad
from the rate standpoint are two- the customary
presence, especially when historically regarded,
of unused capacity in some or all of its facilities
and the large outlays involved in providing that
capacity. Not only did the superiority of rail
over other transport agencies justify construc-
tion for relatively light traffic, but the overhead
costs occasioned by even a minimum plant
proved relatively heavy as judged by most other
businesses. In early decades at least such costs
increased much less rapidly than traffic; and
many operating costs, such as are involved in a
minimum of maintenance and of train service,
were likewise capable of being spread over more
traffic. There thus existed the strongest possible
inducement to depart from a cost basis of rate
fixing: to impose charges as low as necessary to
get traffic as long as the effect on profits was
positive and to impose as high rates as feasible
on traffic not easily discouraged. If peculiarities
of the industry provided the incentives to dis-
criminatory charging, they also supplied the
conditions which made it possible. The great
cost of railroad construction, and the necessity
of physical contact of the railroad plant with the
area served by it, established a position of mo-
nopoly with respect to a large part of the traffic;
and the fact that rail service is not a homogene-
ous commodity, but is sold to buyers who can be
classified on the basis of goods shipped and
routes shipped over, afforded a further condition
of discriminatory pricing. As between types of
traffic, the value of the commodity has long been
recogm/ed as a rough gauge of rate paying
ability; while as between different hauls, the
presence or absence of competitive rail, water or
other carriers, whether directly parallel or serv-
ing alternative sources of supply for important
markets, induced a nearly complete departure
from that consistent relation of rates to distance
which a cost basis would impose.
Freight classifications and tariffs are the evo-
lutionary product of such cost and traffic factors
as have been mentioned, modified by regulation.
A score or so of classes seem adequate to recog-
nize the peculiarities of the thousands of com-
modities and forms of shipment. Classification
was first undertaken by individual roads, then
carried on by traffic associations; and, in the
interest of obvious elements of economy and
convenience, it has evolved in the United States
under the encouragement and guidance of the
Interstate Commerce Commission into a Con-
solidated Freight Classification by which a single
volume gives in parallel columns the class rat-
ings for all descriptions of traffic in three classi-
fication territories, the so-called Official, South-
ern and Western. The percentage relations be-
tween classes vary considerably, but to a large
extent railroads believe it necessary to depart
from the system of class rates, especially where a
commodity moves in large volume over a given
route or where some special competitive factor is
present. Thus in the United States fully 80 per-
cent by weight of all freight traffic moves at ex-
ceptional or commodity rates; and in Great
Britain a similar situation prevails despite an
attempt, through complete overhauling of the
rate structure, to accommodate the bulk of traffic
in the regular classes.
With mileage relegated to a minor role in
fixing rates on specific hauls the relation of
Railroads
charges as between different points of origin and
destination developed without any systematizing
factor; the result is a confusing maze of charges
that almost defies description, one which makes
the practical task of quoting rates to shippers
enormously difficult and cumbersome. The
United States is divided into a larger number of
territories for tariff purposes than for classifica-
tion, and innumerable tariff publications are
issued by individual carriers and small or large
cooperating groups of lines, covering rates to
and from specified points and areas for one or a
few or a great many commodities or for all
traffic moving on the classified basis On branch
lines and non-competitive hauls a mileage basis
may prevail, but to a dominant extent competi-
tive relationships, often of long standing, remain
influential, despite resulting disparities as judged
by distance. On long routes between points
favored by water competition, especially in the
south and west, rates were at one time commonly
lower than on the shorter hauls between in-
cluded points on the same lines; but under the
pressure of regulation prejudicial relationships
of the grosser sort have been largely eliminated.
More generally there have been created rate
groups within which all points are treated
equally for hauls of any length. Such groups
have been as large as the entire territory east of
the Mississippi and even larger for Pacific coast
shipments. Competitive equality has been main-
tained for the several combinations of roads
meeting at junction points along the Ohio and
Mississippi rivers; and on export and import
traffic the carriers serving the various ports have
had their position maintained by a system of
differentials. So important is transportation cost
in the market price of many commodities that
the survival of producing centers and areas, and
of the carriers serving them, is greatly depend-
ent upon the relationship of rates; and altL >ugh
a master critic of American economic arrange-
ments might not wholly approve the existing
channels of commerce and localization of pro-
duction, actual commitments are properly the
weightiest consideration in judging proposals for
change.
Of all features of rail transportation it is the
fixing of rates which has been most extensively
regulated. For this purpose primarily the elabo-
rate regulation machinery typified by the Inter-
state Commerce Commission was created. Even
in the earliest days of rail transport some effort
was made to control rates, mainly through
charter provisions and general legislative limita-
tions; the growth of abuses and of the problem's
complexities led to the establishment of ad-
ministrative commissions. In part the purpose
of rate control was to prevent a monopolistic
level of charges. The Granger legislation of the
1870*3 was designed chiefly to meet the evils of
exorbitant rates, and this purpose was also in-
cluded among the objectives of the original
federal statute of 1887. In the control of rates
from this standpoint the requirement that rates
be "just and reasonable" has necessarily been
construed with reference to broad segments of
the rate structure; for when the propriety of
carrier earnings is questioned, it is the general
rate level and not individual charges which is at
issue. Many important controversies of this
character have been determined, especially since
1910; and the commission's responsibilities
toward carrier revenues were given fuller and
more affirmative expression by Congress in
1920 and again in 1933. But quite as important
in accounting for rate regulation were abuses
connected with specific charges and their rela-
tionship. Of these the most obviously obnoxious
was the favoritism extended individual shippers,
especially those controlling large traffic, in order
to get their business This evil was met by the
enunciation in 1887 and the workable formula-
tion in 1903 of the elementary rule of equality of
treatment of shippers of the same commodity
under like circumstances. Another and similarly
elementary objective of regulation was the re-
moval of business uncertainty incident to fre-
quent and sudden changes in rates. But more
serious than these abuses, especially when judged
on the basis of the continuing activities of the
commission down to the present, have been the
unfair relationships of rates, as between different
commodities and different routes and hauls,
produced by the broad latitude within which the
carriers have fixed rates according to the ability
of traffic to bear them. The justification of de-
parting from the principle of even cost distribu-
tion has been noted; and it was never the pur-
pose of Congress or of the commission to pre-
vent the roads from so fixing rates as to utilize
their capacity and spread their overhead.
Neither was the public alarmed by that larger
economic waste which might be induced by the
rate structure in stimulating unduly remote pro-
ducing areas and excessive lengths of haul, es-
pecially since it was at all times anxious to have
the maximum number of sources of supply
competing in each market. In the scramble for
traffic, however, charges were often imposed
Encyclopaedia of the Social Sciences
88
which were grossly unreasonable as judged by
other comparable charges; and where com-
modity movements were competitive, such seri-
ous prejudice often resulted that it appeared that
the fate of industries and areas rested with the
caprice of railroad traffic officers. Such power
over a nation's economy could not properly re-
side in an uncontrolled private industry. In
1854 the British Parliament had declared against
undue prejudice in the treatment of patrons, and
in 1873 a tribunal was established to administer
the principle of reasonable rate relationships.
The congressional mandate that rates be just and
reasonable has been as applicable to individual
rates as to the general level of charges; and other
provisions have declared explicitly against un-
duly discriminatory and prejudicial rate rela-
tionships. The authority accorded the Interstate
Commerce Commission in 1887 has been ex-
tended by successive amendments, so that com-
plete power to control individual rates is now
vested in it. Thousands of specific cases have
been decided; and, especially in recent years, the
commission has been frequently concerned with
comprehensive proceedings, designed to bring
about such readjustments as would render the
total rate structure more rational and more
coherent.
It is apparent that the difficulties of rate con-
trol are directly related to the organization of the
rail system and that these difficulties have at-
tained a maximum in the United States. With a
large number of companies of widely unequal
earning power it is impossible to adjust rates so
as to sustain the weak without unduly enriching
the strong. Moreover with an area occupied by a
number of competitive carriers the likelihood of
improper relationships is greatly increased. It is
inaccurate to say that competition is responsible
for discrimination; but the presence of competi-
tion at some points, combined with its absence
at others, is productive of prejudicial relation-
ships. Where railroads are combined regionally,
as in Great Britain and France, a symmetrical
rate structure is facilitated; but it is by no means
accomplished, since many cities still enjoy com-
petitive services and non-parallel lines serving
rival producing areas continue to compete. A
complete railroad monopoly, when government-
ally operated or stringently controlled, is freest
from the economic influences making for bad rate
adjustments. But whatever the state of railroad
organization, rate adjustments are affected by
the competition of other carriers, either by water
or on the highways; and the belief that railroad
rates cannot be controlled satisfactorily unless
the charges of alternative agencies are subjected
to the same control accounts in part for efforts
to establish a more extensive regulation of motor
and water transportation. As the temptation to
adjust rates unfairly varies with the extent of
unused capacity, the problem is most serious
when railroad construction outstrips the growth
of tonnage, when the appearance of new agencies
threatens the loss of traffic and when a generally
low state of business activity reduces the total
demand for service.
No less important than the charges which rail-
roads exact are the character of the services
which they render and the operating practises on
which both rates and service depend. If revenue
receipts are taken as a rough measure of the
services performed by American railroads, it
appears that the carriage of passengers is a
relatively minor function for the average road,
accounting for about one seventh of its revenue.
About four fifths comes from freight, and of the
minor items making up the remainder the most
important are the mail and express services. In-
dividual carriers of course depart widely from
the average. In Great Britain passenger service
yields more than a third of rail revenue, and the
proportion is similar in much of western Europe;
while in Japan it accounts for more than half of
the total. Travelers resort to the railroad less
frequently in the United States than in a number
of other countries, a condition prevailing even
before the present wide use of automobiles; but
the usual journey is relatively long, averaging
now, with commutation traffic excluded, more
than seventy-five miles, an average whose 40
percent increase in ten years reveals the greater
effect of motor competition on the shorter
journey. But the relatively great importance of
freight service in the United States is due in the
main not to a smaller passenger traffic but to a
larger per capita production of goods and to a
long average haul exceeding three hundred
miles. Ton mileage per capita in 1929 exceeded
35-
The growing importance of the railroad as a
means of passenger transport, from its super-
session of the stagecoach to the rise of the auto-
mobile, was paralleled by a striking improve-
ment of service. Out of the early springless
vehicles whose occupants were showered with
engine soot there evolved comfortable coaches,
supplemented by sleeping and dining facilities,
which made travel less an ordeal and to many a
pleasure. A speed of fifty miles an hour includ-
Railroads
ing stops became feasible; and at the same time
accidents to passengers fell to negligible pro-
portions. But the generally high level of per-
formance attained was by no means adequate to
withstand the devastating competition after 1920
of the automobile. Low rate commutation, or
suburban service, and high rate Pullman service,
which accounted for half the total passenger
mileage, could not do much more than maintain
their absolute position until the depression; but
from 1923 to 1929 day coach travel in the
United States decreased by more than 40 per-
cent. With the sharper declines after 1929 the
passenger revenues of few roads covered even
those operating expenses which could be allo-
cated, much less any return on capital devoted
to passenger facilities. In response to this condi-
tion many services have been abandoned, rail
cars with self-contained power units have been
substituted for regular trains, and to an increas-
ing extent special excursion or round trip rates
have replaced the regular fares; but more drastic
measures appear necessary. Incipient technical
developments include the air conditioning of
coaches and the designing of lightweight and
streamlined trains capable of zoo-mile speeds,
which may revolutionize the quality of service.
General reductions in basic fares appear likely;
and an increasing cooperation of railroad com-
panies will probably bring some elimination of
duplicated services.
While less manifest to the casual observer, the
evolution of freight service, through improved
construction of roadways and structures, the
better design and greater size of cars and loco-
motives, the speeding up and regularizing of
operations and its closer adaptation to the pe-
culiarities of traffic, outweighs in economic im-
portance the changes in passenger transport.
Although essential similarities exist in the de-
velopments in different countries, there have
likewise been striking differences, as in the
emphasis in Great Britain on the timely move-
ment of small consignments in small capacity
cars and the opposite emphasis in the United
States on low cost bulk movements. Much
progress, especially in freight transportation, has
depended on inter-company cooperation; and
developments in this respect have reached a high
level, despite opposition, as in the United States,
to drastic reduction of railroad competition.
Early cooperation, often international, was
aimed at gauge uniformity; but for free inter-
change of traffic the standardization of equip-
ment and repairs was scarcely less important
and commanded early attention. Organized co-
operation in the United States in the latter
direction began during the i86o's when the
Master Car Builders' Association was formed.
Along with technical cooperation numerous
business arrangements are necessary to the
effective handling of interchange traffic. The
through billing of freight must be provided for,
and with the quotation of joint rates machinery
for their division among connecting lines must
be established As cars move off the lines of the
owning road, arrangements must be entered
into for compensation for their use, for their
repair, both ordinary and extraordinary, and for
a reasonable promptness of return. Great diffi-
culty has been experienced in providing ade-
quate incentives for the "homing" of cars, with-
out creating an excess of empty running. In the
United States many of these activities are di-
rected by divisions of the American Railway
Association, an organization which originated in
the conventions held for standardizing railroad
time, but which later turned its attention to
formulating rules respecting demurrage, signals
and safety matters generally; it now includes the
Freight Claims Association and sponsors the
research conducted by the Bureau of Railway
Economics In addition sectional groups of
earners conduct, by means of traffic associations,
the preparation and publication of tariffs and
police the weighing and billing of shipments.
Interline routing of freight and exchange of
equipment take on a political aspect when na-
tional boundaries intervene. Thus most of the
European governments signed the Convention
and Statute on the International Regime of Rail-
ways of 1923; and the League of Nations has
promoted railroad cooperation.
An issue in the organization of railroad service
which has always been present in various guises
is the extent to \v hich the railroad company itself
should assume direct responsibility for rail
services and facilities. At the outset it was
thought that only the roadway should be pro-
vided and that it should be made available to
various users as canals and turnpikes were; but
the danger and confusion of such an arrange-
ment were quickly apparent. With tractive power
provided by the railroad, however, it is still
possible for the several services to be conducted
independently. There were, for example, the
independent freight lines which after the middle
of the last century provided through interline
services on American railroads, prior to the es-
tablishment of effective cooperative arrange-
Encyclopaedia of the Social Sciences
90
ments between carriers; and on the same prin-
ciple sleeping car and express services have been
independently supplied. Moreover for services
under direct railroad control cars have often
been provided on a rental basis by shippers or
car owning companies In Great Britain private
cars are common; while in the United States the
majority of tank cars, many refrigerator cars and
some coal and livestock cars are separately
owned. When cars are owned by shippers, tech-
nical progress may be impeded and empty car
mileage increased; but when, as in the case of
Pullman cars, specialized equipment is made
freely available wherever a demand exists, a
more economical utilization is attained than
would be possible through direct railroad own-
ership and the administration of car service
rules. To an important extent and m a manner
productive of serious abuses freight forwarding
companies stand between shipper and carrier in
their capacity of consolidating small consign-
ments into carloads. These companies often
undertake the collection and delivery of freight,
a function long performed by the railroad itself
in Great Britain and a number of other coun-
tries. Under the spur of motor competition
American railroads are beginning m a tentative
manner to extend their services to the shipper's
door in the handling of less-than-carload freight.
In several instances, notably with regard to ex-
press, American railroads own the companies
performing separate services; and the general
tendency is toward a more inclusive conception
of the function of the railroad company.
From a more strictly managerial standpoint
the provision of rail transportation has revealed
many unusual aspects. Besides the peculiarities
as to financing and pricing which have been
noted special significance attaches to the wide
ramification of the physical plant and the ex-
ceptional problem of supervision created thereby
in the proper maintenance of roadway and roll-
ing stock, the operation of trains and the control
of labor. The hazards of the industry necessitate
large outlays, otherwise unremunerative, in the
interest of safety; and the continuous flow of loss
and damage claims and the innumerable con-
tacts with regulative authorities require almost
as extensive participation of the legal as of the
engineering profession. For the specialized per-
formance of functions it is necessary that man-
agement be departmentalized; but it is equally
necessary that it be organized territorially for the
recognition of local needs. These two principles,
the departmental and the divisional, clash some-
what; but both are recognized, with probably a
greater emphasis on the latter in the larger
American systems. In view of the importance of
training and experience on the part of workers
operating trains railroad labor enjoys an ex-
ceptionally strong bargaining position; and this
circumstance, combined with the public stake
in continuous rail service, has given unusual
prominence to labor relations in the conduct oi:
the industry. Numerous features make for ^
highly routinized performance, a condition
which has led to the observation that the indus-
try is one peculiarly fitted for government opera-
tion. But on this ground it seems equally perti-
nent to observe that the industry is one in which,
because of a strong tendency toward inertia and
routine, exceptionally dynamic leadership is re-
quired if it is to move forward in the changing
realm of transportation. The likely source of
such leadership, whether private or public, is
another matter.
On the whole the character of service and the
manner of providing it in the United States have
been left to private management. The leading
exception has been the stringent safety regula-
tions, the influence of which has been most
praiseworthy. But after 1900, as traffic caught
up with carrier capacity, there were frequent and
serious car shortages, which impeded the con-
duct of business. Responsibility may be assigned
to inefficient operations, poor credit or ineffec-
tive inter-carrier arrangements; but whatever
the cause, the World War brought a crisis in rail
transportation which led the federal government
to operate the roads as a single system. Before
this time the only action of the Interstate Com-
merce Commission in matters of car service had
been directed at abuses growing out of the as-
signment of private cars to mines; but in 1917
and 1920 authority was granted it to supervise
and enforce adequate car service rules, to re-
quire the provision of reasonably adequate
facilities, and in emergencies to compel their
common use, as well as to establish priorities and
direct the routing of traffic. Whether or not be-
cause of the mere presence of these powers, for
they have been little exercised, the carriers
managed in the ensuing decade to carry a grow-
ing traffic with almost complete freedom from
congestion and car shortages and with con-
spicuous expedition of service. A more credible
explanation may be found in the prevailing
sentiment that private operation was on trial and
in the emerging fear of road and water competi-
tion. The establishment of machinery through
Railroads
9 1
shippers' advisory boards to cooperate with
shippers in anticipating car requirements con-
stitutes one of the more concrete evidences of
the new spirit of enterprise Improvements in
service were paralleled by economies in opera-
tion, as shown by most of the so-called indices
of efficiency. One of the more inclusive of these,
gross ton miles per tram hour, advanced 60 per-
cent in eight years. These results were made
possible not only by an energetic managerial ap-
proach but by generous capital outlays.
It may well be that rail transportation, like
other basic constituents of social living, is not
accorded in popular thinking a just measure of
its significance; but, on the other hand, it is
strikingly true that through the century of its
development the industry has seldom failed to
keep itself squarely in the public eye. From the
early and unsuccessful opposition of intrenched
business interests the railroad passed through
four decades of almost unqualified public en-
thusiasm and support, in which it was identified
with revolution in industry and exploitation of
territory. It is true that charters imposed re-
strictions, that during this early period mildly
regulatory acts were passed in Great Britain and
that the French system of close governmental
supervision was beginning; but in the United
States the menace of railroad favoritism and mo-
nopoly provoked serious popular alarm and ac-
tion only after 1870. From then on, through
state legislation and the enactments of Congress
in 1887, 1903, 1906 and 1910, there was estab-
lished a machinery of regulation, concerned
primarily with rates, whose nature and intent
reflected the widespread conviction that so in-
dispensable an agency subject to so many actual
and potential abuses must be closely restricted
and controlled. But prevention of abuses was not
enough; it became increasingly apparent that
public policy should embrace the further aim of
promoting positively a vigorous and effective
railroad system. To this end it was never
seriously considered that restrictive regulations
should be relaxed; indeed a strong sentiment
had developed, reaching its height following the
end of the World War, that the government
should assume complete responsibility for rail
transportation through public ownership and
operation. This view did not prevail; but in 1920
Congress rewrote the Interstate Commerce Act
to the end that the commission thenceforth
should be definitely concerned with promoting a
sound financial condition in the industry and the
performance of a high level of service through
adequate provision and systematic arrangement
of railroad facilities.
Perhaps, as is sometimes contended, the direct
results of this legislative expression of an altered
popular attitude were slight; but within a decade
two developments served to crystallize a more
sympathetic public response to the problems of
the carriers. The first of these was the growth of
rival transport agencies, especially on the high-
way, which undermined railroad monopoly and
aroused concern over the future of the industry.
The second was the general business breakdown
after 1929, which greatly increased the sense of
social dependence upon the railroads On the
latter account the fear was not merely that finan-
cial embarrassment would impair operations but
that extensive defaults on railroad obligations
would shake the entire financial fabric of the
United States, in view of holdings totaling per-
haps $7,000,000,000 of railroad bonds in the
hands of insurance companies, savings banks
and other institutions of great public impor-
tance. It was realized also that inactivity in steel,
lumber and other basic industries was much
intensified by the impoverished state of the rail-
roads. For these reasons railroads, next to banks,
were the principal beneficiaries of emergency
credit extended by the government through the
Reconstruction Finance Corporation.
Doubtless during the depression years of 1932
and 1933 too pessimistic a view was taken of the
railroads' position, because too large a responsi-
bility for their immediate plight was attributed
to the competitive factor and too little to the
supposedly temporary general breakdown. It is
but necessary to recall that in 1929, despite
competition, the railroads were in a strong finan-
cial position and to recognize that only a slight
fraction of the decline in traffic since that year is
explainable by the further diversion to rival
agencies. Nevertheless, the future position of the
railroads must be considered largely with refer-
ence to the grovvingly serious competition of
other means of transportation. The operation of
millions of motor vehicles over paved highways
has cut deeply into the passenger and less-than-
carload freight traffic of the railroads and with
greater menace into certain types of carload
freight, such as cotton and livestock. Most of the
vast traffic in motor fuel moves by pipe line,
while the railroad movement of coal is affected
by the long distance piping of natural gas and
transmission of electric power. The intercoastal
movement through the Panama Canal and the
operation of barges on rejuvenated waterways
Encyclopaedia of the Social Sciences
92
have become substantial factors; while com-
mercial air transport is seeking high class pas-
senger, mail and package business. The com-
bined attack of these rivals has led to predictions
that the railroad will go the way of the stage-
coach and early canal boat. Foreseeable de-
velopments, however, afford slight basis for
such an expectation. The position of the rail-
road, strengthened by measures quite free of the
taint of artificial resuscitation, seems secure.
Such bolstering of the railroad's position may
occur along three lines: restriction of competi-
tion, removal of burdens and improvement of
operations. Of these the first is most obvious and
is most open to abuse in view of the danger of
denying the public the full advantage of prog-
ress in transportation. Whether competition is
restricted by the licensing system usually ap-
plied to motor carriers, by limiting the size and
weight of road vehicles or by permitting railroad
control of rival agencies, there may easily be a
sacrifice of beneficial developments through un-
due regard for the railroad viewpoint. But where
loss of revenue from a limited range of traffic
will weaken the railroad in serving traffic for
which the rival provides no adequate substitute,
the balance of public advantage may warrant
restriction. Nor does public gain accrue from
competitive services offered at unremunerative
rates or at rates made remunerative by an arti-
ficially low level of costs. The economy of truck
and barge operations results in part from inferior
labor standards and in part from indirect public
subsidies. It is debatable how adequately motor
transportation pays for the use of public roads,
in addition to a reasonable general tax contribu-
tion, although rt appears that in some jurisdic-
tions the levies are sufficient. The availability of
toll free waterways obviously subsidizes the
water carrier. It is only reasonable to allay such
fears for the railroad's future as are due to a
competition unable fully to pay its way.
Doubtless also the railroads have been subject
to a variety of burdens and impediments which
can be lessened if their continued health is
genuinely at stake. Property taxes, for example,
weigh exceptionally upon an industry of such
extraordinary capital requirements that it takes
the revenue of four normal years to equal the
value of its property. Whatever the expediency
of tax relief, there seems only a sterile legal
reason for requiring railroads to make 'arge un-
remunerative outlays foi highway grade separa-
tions, the occasion for which is the growth of
road transport. Similarly the duty to continue a
service once undertaken has diminished force
from a broad social viewpoint when the traffic
producing power of an area has declined or when
traffic has to some extent passed to rival agencies
which are able, without disastrous consequences,
to supplant the railroad. There are many
thousands of miles of line in the United States
whose continued use must burden the remaining
mileage and the traffic which it serves; and
despite the hardships to communities sometimes
occasioned by abandonment any doubt regard-
ing the general integrity of the rail system argues
the reasonableness of that expedient. But very
largely such embarrassment as the railroads
have experienced may be explained only in part
by loss of traffic; it is even more directly attrib-
utable to the attempted support of a capital
structure, a burden of fixed obligations, im-
proper in an industry subject to marked fluctua-
tions. Where this is the case the remedy raises no
fear as to the patient's life. The view is a com-
mon one also that the railroads have been most
weighted down by the very regulation to which
they have been subject; but few convincing con-
siderations can be adduced in its support. While
some changes in regulatory policy would doubt-
less prove helpful, particularly through an in-
creased emphasis upon coordination of trans-
portation agencies, any far flung relaxation of
the impact of government control would prob-
ably be opposed by the carriers themselves.
Adaptation of the railroads to new conditions
must come mainly through their own efforts.
Possibilities remain of improving service and
reducing cost. Recent technical developments
suggest that passenger transport may become
much faster, cheaper and more comfortable than
the railroads now provide, although reasons of
cost must prevent any sudden general replace-
ment of existing facilities. With productive ac-
tivity in the United States devoted increasingly
to manufacturing and the distribution of manu-
factured goods and, in agriculture, to the grow-
ing of fruits and vegetables, the railroads must
modify still further their traditional emphasis on
slow quantity movements. While any great
effort to retrieve certain parts of the traffic lost to
other agencies would be ill advised, a full readi-
ness to make feasible changes seems necessary,
whether in methods of service or in those rate
relationships which derive from a monopoly
situation. If one may judge by the resistance to
trucking competition offered r. British rail-
roads, despite a typical length of haul and size of
consignment within the range largely usurped
Railroads
93
by the truck in the United States, the combina-
tion of fast scheduled freight services and
prompt collection and delivery by railroad ve-
hicles is an effective competitive weapon, al-
though one properly limited to routes where the
movement is substantial. It seems that the em-
ployment of road vehicles, freight and passen-
ger, in both line haul and terminal operations,
affords the railroads many opportunities to cut
costs and improve service. But undoubtedly
some of the most important economies are to be
obtained only through a lessening of duplication
in service and through a modification of the
competitive organization of systems, a course
dependent in part on legislative changes. No
justification remains for conducting competi-
tively the enormously expensive less-than-car-
load service, and it has been suggested that the
jointly owned Railway Express Agency, Inc.,
might expand to perform this function. The
pooling principle may also be applied more ex-
tensively, especially in the passenger field. But
it is possible to go much further, particularly if
competitive incentives are a luxury which can no
longer be afforded by an imperiled railroad in-
dustry. Thus estimates of annual savings all the
way up to a billion dollars or more through a
drastic reorganization of American railroads into
regional systems have been made by persons
whose views may not lightly be dismissed.
But while the way seems open to considerable
strengthening of rail transportation in its rela-
tion to competitors, the need for action, al-
though great, is less imperative than may appear
in the gloomy half light of a prolonged eco-
nomic depression Given a substantial recovery,
most rail carriers should not suffer, despite
competition, from lack of traffic. Where cost is a
consideration, air transportation offers no seri-
ous threat in the foreseeable future; nor does the
waterway, except through a determined policy
of governmental support. Because of highway
competition the place of the railroad in passen-
ger transport in the United States seems des-
tined to be a limited one, unless drastic changes
are effected, but fortunately the chief depend-
ence of the railroad, especially in the United
States, is freight. The minimum cost per ton
mile in motor trucking seems certain to remain
several times the average cost by rail where
quantity shipments are extensive and average
hauls are long. The greater availability of energy
resources by wire and pipe line is in important
competitive factor, but it probably does not
threaten any serious absolute reduction in the
railroad movement of fuel. With the restoration
of a higher level of general business and a fair
public attitude in formulating relevant policies,
it seems that with ordinary enterprise the rail-
roads should retain their dominant position in
transportation.
I. L. SHARFMAN
SHOREY PETERSON
LABOR. The public has a direct interest in the
relations between railroads and their employees,
since it demands continuous and uninterrupted
operation and efficient and safe transportation.
The public is concerned also with the question
of remuneration, because railroad wages consti-
tute the major portion of operating expenses,
which in turn react upon rates. Whether the
railroads are owned by the government or by
private companies, the labor problem is bound
sooner or later to become an object of public
scrutiny and regulation. Its magnitude in
strictly labor terms can be realized from the fact
that in four countries alone, the United States,
Great Britain, Germany and France, the rail-
roads in 1929 employed over 3,500,000 persons.
The vv ide array of crafts encompassed by the
industry may roughly be divided into four
classes. The highest degree of selection and skill
is represented among the men engaged directly
in the movement of trains: engineers, firemen,
conductors and brakemen. These workers in
addition to their skill must possess physical en-
durance and mental alertness. Next in im-
portance are the shopmen employed in the
building and repair of equipment: machinists,
blacksmiths, boiler makers, electrical workers,
sheet metal workers, firemen, oilers, carmen and
others. Both types of work invohe a skill ac-
quired only after years of apprenticeship. The
greatest number of unskilled workers are to be
found among those engaged in the maintenance
of way and structures, where, outside of a rela-
tively small group of supervisory officials and
skilled persons, there is a large body of section
men and common laborers. The miscellaneous
services include a number of occupations of
varying skill, principally those of station agents,
clerks, baggagemen, telegraphers, flagmen and
gatemen.
For many years the railroad industry showed
a steady increase in the number of employees,
but during the past decade the trend has been in
the opposite direction. In the United States the
decline in all carriers was from 2,075,886 in 1920
to 1,902,222 in 1923 and 1,694,042 in 1929, a
Encyclopaedk of the Social Sciences
94
year of peak prosperity; at the end of 1932 rail-
road employees numbered fewer than 1,000,000.
In Great Britain the reduction was from 736,000
in 1921 to 616,000 in 1931. There have been
similar decreases in other countries. Although
in the United States the drop since 1929 has
been largely a result of the temporary effects of
the economic depression, much of it may be
traced to the permanent changes in the industry
before 1929; of these the most important are
technological advances, which have increased
efficiency without enlarging the volume of busi-
ness, and competition from motor transporta-
tion, which has taken business away from the
railroads. In lesser degree these developments
affect the industry in other countries. The
workers have been the chief sufferers, as a result
of losses in employment opportunities.
There is considerable variation in wages,
hours of labor and other working conditions
among railroad employees, according to the
nature of employment, skill and bargaining
power. Railroad wages reached their peak during
the World War, but since then they have been
subject to a gradual deflation; and very rarely
has their level exceeded those of similar skills in
other industries. Because of the decrease in em-
ployment there has been a substantial decline in
total wages and salaries from $3,681,000,000
in 1920 to $3,004,000,000 in 1923 and $2,896,-
000,000 in 1929. Average yearly compensation
has risen only slightly. In some places, especially
European countries, the regular rates of pay are
supplemented by extra payments and other
allowances. For many years the railroads were
notorious for their long hours of work, a situa-
tion that has been remedied to a large extent in
recent years, mainly by means of legislation tied
WAGES AND SALARIES OF RAILROAD EMPLOYEES AND
RATIO OF OPERATING EXPENSES TO REVENUE,
UNITED STATKS, 1920-29*
WAGES
PERCENTAGE
NUMBER
YEARLY
RATIO OF
YEAR
OF
EMPLOYEES
SALARIES
(IP $1000)
AVERAGE
OPERATING
EXPENSES
TO REVENUE
1920
2,022,832
3,681,801
$1820
94-4
1923
1,857,674
3,004,072
1617
77-9
1924
1,751,362
2,825,775
1613
76.2
1925
1,744,311
2,860,600
1640
74.2
1926
1,779,275
2,946,114
1656
732
1927
1,735,105
2,910,183
1677
74-7
1928
1,656,411
2,826,590
1706
72.6
1929
1,660,850
2,896,566
1744
71.9
* Except for ratio of operating expenses to revenue, the figures
are for Class I railroads
Source United btates, Bureau of Foreign and Domestic Com-
merce, Staltstical Abstract oj the United States (1932) p. 371, 380.
up with safety laws. The workers have been
trying to achieve extra pay for overtime and the
recognition of the principle of seniority in pro-
motions and employment, but in neither case
have far reaching results been attained. Con-
siderable progress has been accomplished,
notably outside of the United States, with re-
gard to pensions and other insurance benefits.
In the United States the organization of
workers in the industry has been almost entirely
on a craft basis. There are at least 23 unions.
The trainmen's brotherhoods, the most power-
ful group, include the Brotherhood of Locomo-
tive Engineers (1863), the Order of Railway
Conductors (1868), the Brotherhood of Loco-
motive Firemen and Enginemen (1873) and the
Brotherhood of Railroad Trainmen (1883).
There are nine unions affiliated with the Ameri-
can Federation of Labor as members of the
Railway Employes' Department: the Interna-
tional Brotherhood of Boilermakers, Iron Ship-
builders and Helpers (1880), the Brotherhood of
Maintenance of Way Employees (1886), the
International Association of Machinists (1888),
the Sheet Metal Workers' International Asso-
ciation (1888), the International Brotherhood of
Blacksmiths, Drop Forgers and Helpers (1889),
the Brotherhood of Railway Carmen (1891), the
International Brotherhood of Electrical Workers
(1891), the Switchmen's Union of North Ameri-
ca (1894) and the International Brotherhood of
Firemen and Oilers (1898) Other railroad
workers' unions affiliated with the American
Federation of Labor are the Order of Railroad
Telegraphers (1886), the Brotherhood of Rail-
way Clerks (1898), the Order of Sleeping Car
Conductors (1918) and several locals of Pullman
porters not yet united into a national body.
There are also the Brotherhood of Railroad
Signalmen (1901), the American Federation of
Railroad Workers (1901), the American Train
Dispatchers' Association (1917), the Brother-
hood of Dining Car Conductors (1918), the
Railroad Yardmasters of America (1918) and a
few minor organizations covering agents, station
employees, colored workers and a rival group
of yardmasters.
The powerful trainmen's brotherhoods in-
clude the great majority of all persons engaged
in those occupations. Their members occupy a
strategic position in the movement of trains and
can be replaced only with difficulty in case of
strikes. So strong are these unions, which have
measurable control over wages and working con-
ditions, that they have throughout most of their
Railroads
95
history kept aloof from the other organizations
and have refused to join the A. F. of L. The
unions of boiler makers, machinists, sheet metal
workers, electrical workers and firemen and
oilers have members both inside and outside the
railroads and together with the carmen cooper-
ate in collective bargaining through a scheme of
system federations. Outside the Railway Em-
ployees Department of the A. F. of L., the most
important organization is that of the teleg-
raphers, which is sometimes classed with the
trainmen's brotherhoods. Nearly all of the
unions belonging to the A. F. of L. control only
a portion of the workers in their respective
fields, having written agreements with a limited
number of roads; this is also true in a general
way of the chief miscellaneous organizations, of
which the American Federation of Railroad
Workers is unique by virtue of its being an in-
dustrial union. In recent years most of the
unions have been united as the Railway Labor
Executives' Association and are working to-
gether on legislative and other matters of com-
mon interest.
Although there were a number of railroad
strikes during and after the 1850*8, it was not
until the depression of the iSyo's that the spirit
of unrest became widespread because of severe
reductions in wages. In 1877 there were strikes
on the most important railroads in the eastern
states, which led to violence in various cities and
suppression of the strikes by troops. During the
i88o's the shopmen, under leadership of the
Knights of Labor, conducted several successful
strikes against western lines; but the last one in
1886 ended in defeat and disrupted the organiza-
tion. An important strike was that participated
in by engineers, firemen and switchmen m 1888
on the Chicago, Burlington and Quincy Rail-
road; although this strike failed, it brought such
extensive financial loss to the company that for
many years thereafter most lines did not dare to
risk a strike, a factor which led to the gradual
recognition of the trainmen's brotherhoods. The
Pullman strike of 1894, involving the shopmen
around Chicago who belonged to the American
Railway Union organized by Eugene V. Debs,
was lost largely because of the opposition of the
federal government through a court injunction
and the calling out of troops.
The frequency of strikes soon created a de-
mand for legislation to aid in the settlement of
labor disputes; the first such law was passed in
1888, but it was rarely brought into operation.
Ten years later this law was superseded by the
Erdman Act; it covered only employees engaged
directly in the movement of trains and provided
for mediation and conciliation, upon application
of either side to the controversy, to be followed
in case of failure by an offer for arbitration by a
board of three members. The Erdman Act was
not used until 1906, after which it played a very
important part in the settlement of a number of
controversies. In 1913 it was replaced by the
Newlands Act, which created a permanent
board of mediation and conciliation with the
power of taking the initiative in adjusting dis-
putes; the membership of the board of arbitra-
tion was increased to six in order to lessen the
influence of the neutral representatives upon the
decision. The Newlands Act was instrumental
in the settlement of a number of disputes, until
it ceased to function at the close of 1917.
An interesting development during the life of
the Erdman and Newlands acts was the use by
the trainmen's brotherhoods of the concerted
movement, whereby one or more of the organ-
izations engaged in collective bargaining with all
the railroads m a given territory or throughout
the country. The chief objects of the concerted
movements were to increase the bargaining
power of the men by more united action and to
bring about uniformity m wages, hours and
working conditions over a wide area. All con-
certed movements prior to 1916 involved only
the engineers and firemen or the conductor?
and trainmen, covering merely a single territory.
In that year, however, all four brotherhoods
united in a single concerted movement and de-
manded of all the railroads the establishment of
the eight-hour day with the same pay and time
and a half for overtime. The unions rejected
arbitration and threatened to call a general strike
if the demands were not granted. President
Wilson succeeded in persuading the brother-
hoods to give up the idea of punitive overtime,
provided the eight-hour day was established. As
the railroads refused to accept the compromise,
a strike was called for September 4, 1916, and
was averted only through the passage of the
Adamson Law, subsequently upheld by the
United States Supreme Court, establishing
the eight-hour day for all employees engaged in
the movement of trains.
The brief period of government operation of
the railroads from the close of 1917 to the early
part of 1920 marks a new era in the industry's
labor relations. Whereas prior to this time the
members of the powerful trainmen's brother-
hoods had been the only railroad workers to
96
Encyclopaedia of the Social Sciences
receive consideration, the government now
adopted the policy of treating all workers alike;
and an attempt was made to narrow the gap
between the wages and working conditions of
the men of various skills. One of the first acts of
the Federal Railroad Administration was to re-
move ail former restrictions as to membership
in labor organizations, which brought about a
rapid unionization of the industry. Next, the
workers were given a number of wage increases
in order to meet the constantly increasing cost of
living. At the same time there was established
the general eight-hour day with time and a half
for overtime, accompanied by various other
improvements in working conditions.
With the return of the railroads to private
operation on March i, 1920, the adjustment of
disputes between the companies and their em-
ployees was placed in the hands of the newly
created Railroad Labor Board, composed of nine
members appointed by the president and repre-
senting on an equal basis the roads, their
workers and the public. Its functions were to
hold hearings and hand down decisions relating
to wages, hours and working conditions. The
board granted varying increases in wages to
nearly all persons in the employ of the railroads
because of the rising cost of living. However,
even before this decision had been announced,
the period of post-war depression had already
set in. The railroads now came forth with de-
mands not only for reductions in wages but also
for the abrogation of the national agreements
and reconsideration of the rules concerning
hours and working conditions put into effect by
the Federal Railroad Administration Both re-
quests were granted by the Labor Board to take
effect on July i, 1921, thus creating wide dis-
satisfaction m the ranks of labor. In 1922,
following another wage reduction in the me-
chanical departments, the shop unions went out
on a general strike, which was defeated with the
help of the federal government through an in-
junction. This experience increased the opposi-
tion of the workers to the board, and soon the
trainmen's brotherhoods began to disregard its
existence and to deal with the railroads directly.
The board became involved in a controversy
with the Pennsylvania Railroad, which in spite
of the former's decision insisted on dealing with
its own company union instead of with the bona
fide organization of labor. The case was taken to
the United States Supreme Court, which de-
cided that the powers of the board were merely
advisory and not mandatory. Finally, the board
lost so much prestige that both the railroads and
the employees began to make demands for its
abolition. It was abolished in 1926 by the Wat-
son-Parker Act.
The Watson-Parker Act in effect marked a
return to the method of settling grievances as
outlined in the old Newlands Act. The new
measure provided for a Board of Mediation,
which was to act in all controversies not settled
within the individual roads or by bipartisan
boards of adjustment, and in case of failure it
was to induce both parties to submit the case to a
court of arbitration of three members (or six by
agreement). In case the dispute could not be
settled by these methods, thereby threatening
an interruption of traffic, the president of the
United States was empowered to set up an
emergency board to report within a specified
period. The workers were not denied the right
to strike. The chief obstacle to the proper
functioning of the Watson-Parker law has been
the refusal of the railroads to set up bipartisan
boards of adjustment, so that too great a burden
has been placed on the Board of Mediation and
the settlement of disputes has consequently
been delayed.
The 1920*8 witnessed the launching of several
interesting experiments by the organized work-
ers on the American railroads. One of them was
their advocacy of the Plumb Plan for the indus-
try, a form of guild socialism based on public
ownership and operation by representatives of
employees, including supervisory officials, and
the government, accompanied by an excursion
into the field of independent political action,
which reached its climax during the La Follette
presidential campaign of 1924. At present,
although most of the unions would probably
still favor government ownership, only a very
few of them have retained the idea of inde-
pendent political action. Another experiment
was in the field of banking and investment; this
was undertaken by several organizations, es-
pecially that of the locomotive engineers, but
ended disastrously in nearly all cases. Lastly,
there is the experiment m union management
cooperation, first introduced on the Baltimore
and Ohio Railroad in 1923 after the shopmen's
strike. According to this plan, which now ex-
tends chiefly to the mechanical departments of
several large railroad systems, both the men and
the companies work together for improved
efficiency, the former being given a share of the
gams.
The chief problem with which railroad labor
Railroads
97
is concerned at the present time is that of em-
ployment stabilization, involving a reduction in
the weekly hours of labor with no decrease in
pay and the placing of competitive forms of
business under government regulation. The
workers are also demanding, in the case of
railroad consolidations, compensation for any
consequent losses in employment and removal
of homes; certain provisions to this end have
been made in the Emergency Railroad Trans-
portation Act of 1933.
In general contrast to the situation in the
United States the railroad workers of most
countries have shown a strong tendency to
group themselves into industrial unions. Trade
unionism on British railroads dates back to 1865.
The progress of these unions, however, was very
slow at the beginning, chiefly because of strong
opposition from the companies. In 1890 the
Amalgamated Society of Railway Servants led
an unsuccessful strike on the Scottish lines over
the question of excessive hours, but the struggle
helped to focus public attention on the subject
and even led to some abortive legislation. An
attempt in 1896 by one of the companies to dis-
miss from its employ all members of unions
served only to swell the membership of the
Amalgamated, so that in the succeeding year it
felt sufficiently strong to undertake a concerted
movement for higher wages and shorter hours;
the railroads, however, refused to deal with the
union In the meantime the Amalgamated be-
came involved in the famous Taff Vale Case,
according to which the courts held the union
liable for the acts of its officials in a local strike.
In 1907 the men renewed their concerted move-
ment, but this time the refusal of the companies
to deal with them led to a threat of a strike The
government promptly intervened and persuaded
the railroads to accept a system of conciliation
boards. Largely because of sabotage by the
companies, it became almost impossible for the
unions to obtain anything through the boards.
Growing dissatisfaction among the men finally
led to a general strike in 191 i, in which four of
the principal unions participated. Through
government efforts a settlement was reached,
which modified the work of the conciliation
boards to provide for more rapid settlement of
grievances and resulted in improved working
conditions. Yet far more important than the
outcome of the strike was the fusion in 1913 of
three of the associations, including the Amalga-
mated, into an industrial organization called the
National Union of Railwaymen, embracing all
crafts in the industry. Two craft unions survive,
the Associated Society of Locomotive Engineers
and Firemen (1880) and the Railway Clerks
Association (1897).
One of the first steps taken by the newly
formed National Union of Railwaymen was to
join with the miners' and transport workers'
organizations in forming the "Triple Alliance."
Having gained recognition from the companies,
it now began to demand nationalisation of the
railroads and a share in their management
During the World War, in order to meet the
rising cost of living, the men received, with the
aid of the government, successive bonuses ap-
plied uniformly throughout the country Early
in 1919 the government granted to all workers
the eight-hour day without reduction in pay.
There still remained, however, the problem of
combining the varying basic rates of pre-war
days with the uniform war bonus, so that uni-
form pay might be established on a national
basis. Instead the government, while satisfying
the locomotive engineers and firemen, surprised
the other workers by ordering a reduction in pay
to take effect on January T, 1920 Evidently the
government was determined to make a stand
against the National Union of Railwaymen, but
the latter organization went out on a general
strike and was promptly joined by the Associated
Society of Locomotive Engineers and Firemen
but not by the miners and transport workers in
the Triple Alliance. The struggle lasted for
nine days, a settlement being reached through
the mediation of other trade union leaders. The
settlement brought about a solution of the wage
qxiestion and a little later the establishment of
national and local machinery for settling dis-
putes. Since then the only other stoppage par-
ticipated in by the railroad workers occurred in
1926, as part of the general strike in support
of the miners affecting all labor in the country.
All three unions joined in the struggle; and,
although the strike was not a success, it served
to show the solidarity of the railroad workers.
During the past few years the chief concern of
the workers, as in the United States, has been
the stabilization of employment.
In Germany in 1929 the railroads had 729,838
employees. Prior to the Hitler upheaval the
principal labor organization was the German
Amalgamated Union of Railwaymen, an indus-
trial body with a large membership; but there
were also minor Christian, liberal and com-
munist organizations. The chief craft union \\a?
that of locomotive drivers, which at times co-
98
Encyclopaedia of the Social Sciences
operated with the other organizations. With the
removal of the anticombi nation rules on rail-
roads soon after the revolution of 1918, the
membership of the unions increased by leaps
and bounds until 1922, when there set in a
steady decline The unions are now practically
non-existent. Even during the republic the right
of the upper grades of railroad workers to strike
was virtually prohibited by the government,
although the shopmen, maintenance of way men
and others retained the right to quit work.
In France, where with the exception of one
large system private ownership prevails, the
railroads in 1926 had 524,713 employees. At
present the workers are not very well organized.
There is an important union comprising the
majority of locomotive engineers; the rest of the
men are organized only partially into two com-
peting industrial unions, the French National
Federation of Raihvaymen and a rival radical
organization. In 1910 there was a general strike
on the French railroads, which was put down by
Premier Bnand through the novel means of
calling the strikers to the colors. About that
time a number of organizations were in exist-
ence, but in 1917 they all amalgamated into one
union. The latter grew rapidly in membership
until May, 1920, when another general strike
ended in failure, and soon afterward the split
occurred. Since that time, however, the French
National Federation of Railwaymen has been
making steady progress at the expense of its
competitor.
Important unions of railway workers exist in
Argentina, Australia, Austria, Belgium, Czecho-
slovakia, Holland, India, Mexico, Poland, the
Soviet Union, Spain, Sweden and Switzerland,
although in some of these countries the right to
strike is still prohibited or subject to limitations.
Their problems in general are similar to those in
the countries discussed above.
The movement toward the international
organization of railroad labor began in 1893,
when a conference was held at Zurich and a
committee appointed to inquire into conditions
in various countries. In 1898 the workers on
railroads combined with those engaged in water
transportation to form the International Trans-
port Workers' Federation, which showed a
steady growth until 1914. During the war the
federation was entirely disrupted, but in 1919 it
was reconstituted with headquarters in Amster-
dam. It is now one of the secretariats in the
International Federation of Trade Unions and
is in turn subdivided into several sections, of
which the unit embracing railroad labor, an
autonomous body, is the most important. Most
of the railroad unions belonging to the Inter-
national Transport Workers' Federation are
located in Europe. In general the federation has
been very active in advancing the cause of
workers on railroads in various lands, a striking
illustration being its offer of assistance to the
British unions during the general strike of 1926
The railroad section of the federation has been
working for nationalization, freedom to organ-
ize, participation in management, the eight-hour
day, installation of safety appliances and other
reforms.
JACOB PFRLMAN
See TRANSPORTATION, COMMERCE, COMMON CARRIER;
TERMINALS, INTFRSTAIL COMMERCE COMMISSION;
GOVERNMENT RMJULAIION OK INDUSTRY, GOVERN-
MENI OWNERSHIP, WAR ECONOMICS, RATE RFGUIA-
TION, VALUATION, FAIR RETURN, LAND GRANTS, RAIL-
ROAD ACCIDEN rs, ACCIDENTS, INDUSI RIAL, WORKMEN'S
COMPENSATION, TRADE UNIONS, STRIKES AND LOCK-
OUTS, AUBITRAIION, INDUSTRIAL; HOURS OF LABOR;
MOTOR VEHICLE TRANSPORTATION; ROADS, section
on MODERN, WATERWAYS, INLAND, PANAMA CANAL.
Consult FOR HISTORICAL AND DESCRIPTIVE Adams,
C F , Railroads, Their Origin and Problems (New
York 1878), Carter, C F , When Railroads Were New
(New Yoik 1909), Pratt, E A., The Rise of Rail-
Pwver in War and Conquest, T 833-1 91 4 (London
1915), McPherson, L G , Transportation in Europe
(New York 1910), Jackman, W T , The Development
of Transportation in Modern England, 2 vols (Cam-
bridge, Eng 1916) vol 11, Clapham, J. H , An Eco-
nomic History of Modern Britain, 2 vols (vol i 2nd
ed , CambndRe, Eng 1930-32) vol i, bk n, Stephen-
son, W. T , Communications, Resources of the Empire
series, vol x (London 1924), Kent, P. H., Railway
Enterprise in China (London 1907), Stringer, Harold,
The Chinese Railway System (Shanghai 1922), Haney,
I; II , A Congressional History of Railways in the
United States, University of Wisconsin, Economics
and Political Science series, vol in, no 2, and vol. vi,
no. i, 2 vols (Madison 1908-10), History of Trans-
portation in the Umted States before 1860, ed. by
B. H. Mever, Carnegie Institution of Washington,
Publication no 215 (Washington 1917), Thompson,
Slason, A Short History of American Raihvays (New
York 1925), Riegel, R E , The Story of the Western
Railroads (New York 1926); Hungerford, Edward,
The Story of the Baltimore & Ohio Railroad, 1827-
1927, 2 vols. (New York 1928), Stevens, F, W., The
Beginnings of the New York Central Railroad (New
York 1926), Daggett, Stuart, Chapters on the History
of the Southern Pacific (New York 1922), Inms, H. A.,
A History of the Canadian Pacific Railway (London
1 923), Trottman, Nelson, History of the Union Pacific
(New York 1923), Kennan, George, E H. Hamman,
Z vols (Boston 1922), Pyle, J G , The Life of James J.
Hill, 2 vols (New York 1917), Hedges, J B , Henry
Villard and the Railways of the Northwest (New Haven
1 930) , Helps, Arthur, Life and Labours of Mr Brassey
1801-1870 (London 1872), Brown, W. H., The His-
Railroads
99
tory of the First Locomotives in America (rev. ed.
New York 1874); Thurston, R. N , A History of the
Growth of the Steam-Engine (4th cd. New York
1897).
FOR ANALYTICAL AND GENERAL: Jackman, W. T ,
Economics of Transportation (Chicago 1926), Moulton,
H. G , Waterways versus Railways (rev. ed New York
1936), Daggett, Stuart, Principles of Inland Transpor-
tation (New York 1928), Johnson, E R , Huebner,
G. G , and Wilson, G L , Principles of Transportation
(New York 1928), Miller, S L , Inland Transportation
(New York 1933), United States, Congress, Joint
Commission of Agricultural Inquiry, "Transporta-
tion" in its Report, 4 vols (1921-22) vol ni, Moulton,
H. G , and associates, The American Transportation
Problem (Washington 1933), Sax, Emil, Die Verkehrs-
rmttel in Volks- und Staatswirtschaft, 3 vols (2nd ed
Berlin 1918-22), Picard, A M , Traite des chemins de
fer, 4 vols. (Pans 1887), Acworth, William M , The
Elements of Railway Economics (new ed Oxford 1924),
Williams, S C , The Economics of Raihvay Transport
(London 1909), Johnson, E R , and Van Metre,
T. W , Principles of Railroad Transportation (New
York 1916), Vanderblue, II B , and Burgess, K F ,
Railroads, Rates Service Management (New York
1923), Jones, Eliot, Principles of RaiUvay Transporta-
tion (New York 1924), Ilaney, L H , The Business of
Railway Transportation (New York 1924), Shernng-
ton, C E. R , The Economics of Rail Transport in Great
Britain, 2 vols (London 1928), Wood, W. V , and
Stamp, Josiah, Railways (London 1928), Splawn,
W. M. W , Consolidation of Railroads (Ne\v York
1925), Kidd, H C , A New Era far British Railways
(London 1929), Grodmsky, Julius, Railroad Consoli-
dation (New York 1930), Daggett, Stuart, Railroad
Consolidation West of the Mississippi River, University
of California, Publications in Economics, vol M, no 2
(Berkeley 1933), Ripley, W Z, Railroals, Finance
and Organization (New York 1915), Cleveland, F A ,
and Powell, F W , Railroad Promotion ami Capitali-
zation in the United States (New York 1909), and
Railroad Finance (New York 1912), Bonbright, J C ,
Railroad Capitalization, Columbia University, Stud-
ies in History, Economics and Public Law, no 215
(New York 1920), Campbell, C. D , British Railways
in Boom and Depression (London 1932), Colson, L C ,
Transports et tanfs (3rd ed Pans 1907), abridged tr.
by L R Christie and Gerald Leedam as Railway
Rates and Traffic, ed by Charles Travis (London
1914); McPherson, L. G., Railroad Freight Rates in
Relation to the Industry and Commerce of the United
States (New York 1909), Ripley, W Z , Railroads;
Rates and Regulation (New York 1912), Brown, II G.,
Transportation Rates and Their Regulation (New York
1916), Ely, Owen, Railway Rates and Cost of Service
(Boston 1 924); Snnivasan, K C , The Laic and Theory
of Railway Freight Rates (Madras 1928); Daniels,
W. M , The Pnce of Transportation Service (New York
1932), Johnson, E. R , and Huebner, G. G , Railroad
Traffic and Rates, 2, vols. (New York 191 1), and The
Railroad Freight Service (New York 1926); Loree,
L. F., Railroad Freight Transportation (znd ed. New
York 1929)-
FOR GOVERNMENTAL REGULATION AND ENTERPRISE:
Dixon, F. H, State Railroad Control (New York
1896), Hammond, M B , Railway Rate Theories of
the Interstate Commerce Commission (Cambridge,
Mass. 1911), Dunn, S. O, Regulation of Railway*
(New York 1918), Lockhn, D. P , Railroad Regulation
since IQZO (Chicago 1928), zpj/ Supplement (New
York 1931), Sharfman, I L , The Interstate Commerce
Commission, a Study in Administrate Law and Pro-
cedure, vols 1-11 (New York 1931- ), and The Ameri-
can Railroad Problem (New York 1921), Cunningham,
W. J , American Railroads; Government Control and
Reconstruction Policies (Chicago 1922), Dixon, F. H ,
Railroads and Government (New York 1922), Ac-
worth, William M , Historical Sketch of Government
Ownership of Railroads in Foreign Countries (Washing-
ton 1917), Jagtiam, H M , The Role of the State in the
Provision of Railways, London School of Economics
and Political Science, Studies in Economics and Po-
litical Science, no 73 (London 1924), Splawn, W.
M W., Gm^ernment Ownership and Operation of Rail-
roads (New York 1928), Duncan, J S , Public and
Private Operation of Railtvays in Brazil, Columbia
University, Studies in History, Economics and Public
Law, no 367 (New York 1932)
FOR SERIAL Pi BLICATIONS Australia, Railway Con>
missioner, Report on Commomcealth Railways Opera-
tions, published annually in Melbourne since 1916,
Canada, Bureau of Statistics, Railway Statistics, pub-
lished annually from 1876 to 1921, and Statistics oj
Steam Railways, annually since 1922, China, Bureau
of Railway Statistics, Statistics of Government Rail-
ways, published annually in Nanking since 1915;
France, Direction des Chemins de Fer, Statistujue
des chemins de fer fratifais, published annually since
1890, Germany, Deutsche Reichsbahn-Gesellschaft,
Archiv fur Eiscnbahmcesen, published bimonthly in
Berlin since 1878, Great Britain, Ministry of Trans-
port, Raihvay Returns, Returns of the Capital, Traffic,
Receipts, and Working Expenditure . . of the Railway
Companies of Great Britain, published annually since
1860, India, Railway Department, Report . on
Indian Railways, published annually in Calcutta since
1881, Italy, Amrrumstrazione delle Ferrovie dello
Stato, Relazione per I'anno finanziano, published an-
nually since 1906, and Statistica deW esercizio, pub-
lished annually since 1905, Japan, Department of
Railways, Annual Report, published since 1895,
United States, Interstate Commerce Commission,
Annual Report on the Statistics of Railways in the
Umted States, published since 1889, Annual Report,
published since 1887, and Reports and Decisions, pub-
lished since 1887, Bureau of Rail\\ay News and Sta-
tistics, Raihvay Statistics of the Umted States of
America, published annually in Chicago since 1907.
See also the publications of the Bureau of Railway
Economics
FOR LABOR- Arthur, P. M , "The Rise of Railroad
Organization" in The Labor Movement; the Problem of
To-day, ed by G. E. McNeill (Boston 1887), Com-
mons, John R , and associates, History of Labour in the
Umted States, 2 vols. (New York 1918), Fagan, J. O ,
Labor and the Railroads (Boston 1909), United States,
Bureau of Labor Statistics, "Use of Federal Power
m Settlement of Railway Labor Disputes," by C. O.
Fisher, Bulletin, no. 303 (1922), The Burlington Strike,
compiled by C. H. Salmons (Aurora, 111. 1889), Ware,
Norman J., The Labor Movement in the United States,
1860-1895 (New York 1929), Dacus, J. A , Annals
of the Great Strikes (Chicago 1877), Coleman, Mc-
Alister, Eugene V. Debs (New York 1930) chs. i\-ix;
Encyclopaectta of the Social Sciences
100
Mclsaac, A. M., The Order of Railroad Telegraphers;
a Study in Trade Unionism and Collective Bargaining
(Princeton 1933), Robbins, E. C , Railway Conductors,
Columbia University, Studies in History, Economics
and Public Law, no. 148 (New York 1914), Bern-
hardt, Joshua, The Railroad Labor Board, Its History,
Activities and Organization (Baltimore 1923); Wolf,
H D , The Railroad Labor Board (Chicago 192?);
United States, Bureau of Labor Statistics, "Beneficial
Activities of American Trade-Unions," by F. E.
Parker, Bulletin, no. 465 (1928), and "Handbook of
American Trade-Unions, 1929 Edition," Bulletin,
no 506 (1920); Webb, Sidney and Beatrice, The
History of Trade Unionism (rev. ed. London 1920);
Alcock, G. W M Fifty Years of Railway Trade Union-
ism (London 1922); Cole, G. D. H., and Arnot,
R Page, Trade Unionism on the Railways; Its History
and Problems, Fabian Society, Research Department,
Trade Union series, no. 2 (London 1917), Saposs,
David J., The Labor Movement in Post-War France,
Columbia University, Social and Economic Studies of
Pobt-War France, vol. iv (New York 193 1), Lazard,
Roger, Etude sur la condition administrative et la
situation economtque des agents de chemins de fer en
France (Pans 1923), Aubert, Georges,, Etude sur le
statut du personnel des compagnies de chemm de fer
(Pans 1926), Grailer, I I , Zehnjahre Betnebsratege-
scts und seme Auswirkung auf die Rundesbahnen, eine
soyial- und betnebswirtschafthche Studie uber die Per-
sonalpolitik der dsterreichischen Rundesbahnen (Zurich
1929), Becker, Karl, Der Reichsbahnbeamte (Leipsic
1928), Schmidt-Conz, Albert, Fuhrer durch das Ar~
beiterversicherungs- und Rentemvesen fur den Bedienste~
ten der deutschen Reichsbahngesellschaft (Berlin 1926);
Kuhatscheck, O , Annual statistical article m Archiv
fur Eisenbahnwesen, vols xlvn-lv (1924-32), cover-
ing the period since 1920, Lorwin, L L , and Flex-
ner, Jean A , "International Transport Workers'
Federation" in American Federatiomst , vol xxxni
(1926) 690-97, Wilson, H. R , Railway Accidents,
Legislation and Statistics, 1825 to 1Q24 (London
1925); Wood, L. A , Union-Management Cooperation
on the Railroads, Yale Publications m Economics,
Social Science and Government, vol. m (New Haven
1931). See also publications of the International Fed-
eration of Trade Unions, and of the International
Transport Workers' Federation.
RAMABAI, PANDITA (1858-1922), Indian
feminist and social reformer. Contrary to ortho-
dox Hindu customs, Ramabai was taught San-
skrit and was educated to look forward to the
emancipation of Hindu women, a cause which,
as she grew older, became the great passion of
her life. After the death of her parents in 1874
she and her brother traveled through India as
pilgrims, advocating education for high caste
women. In Calcutta she was received with great
honor by the leaders of the Brahmo Samaj, who
had already begun to work for social reform and
women's emancipation. In 1880 the Pandita, a
Brahman, married a Sudra, thus completely
breaking all caste regulations. When her hus-
band died she went to Poona, where she founded
the Arya Manila Samaj, an organization to pro-
mote women's education and discourage child
marriages; later branch societies were estab-
lished through the Bombay presidency. Realiz-
ing the need for further training for her educa-
tional work, Ramabai went to England in 1883;
there she became a Christian. She attended
Cheltenham College and subsequently studied
kindergarten methods in the United States Her
lectures and her book, The High Caste Hindu
Woman (Philadelphia 1887; new ed. with an
introduction by R. L. Bodley, New York 1901),
aroused a wave of enthusiasm in the west for
the cause of Indian womanhood, of which she
was the chief representative; the Ramabai Asso-
ciation was formed in the United States to sup-
port her social work in India.
On her return to India, the Pandita estab-
lished at Khedgaon, near Poona, Mukti Sadan,
her famous widows' home, in which industrial
and teachers' training schools were set up. At
first she enjoyed the backing of Hindu reform-
ers, such as Ranade; but when her Christian
missionary zeal became manifest, this was with-
drawn. Yet her social work won their highest
regard and she remained the acknowledged
leader of the early period of the women's eman-
cipation movement.
C. F. ANDREWS
Consult; Nikambe, S. M., in Women in Modern India,
ed. by E C. Gedge and M Choksi (Bombay 1929)
p. 14-24, Butler, Clementina, Pandita Ramabai
Saraswati (New York 1922), Macmcol, Nicol, Pandita
Ramabai (Calcutta 1926).
RAMBAUD, ALFRED (1842-1905), French
historian. Rambaud was professor of history at
the University of Nancy and professor of mod-
ern history at the University of Pans; he finally
entered politics under the influence of Jules
Ferry, whose trusted collaborator he became.
He was a member of the Senate and from 1896
to 1898 minister of public instruction. It is his
historical work above all which merits attention.
Rambaud was one of the first among his French
contemporaries to become interested in the long
neglected history of Byzantium. His L' empire
grec au dixieme sitcle; Constantin Porphyrogenlte
(Paris 1870), by reason of its penetrating insight
into historical problems and lucidity of presen-
tation, still remains one of the most remarkable
works on Byzantine history. Several supplemen-
tary articles by Rambaud on this subject are
collected in his Etudes sur I'histoire byzantine
Railroads Ranade
(Paris 1912, 3rd ed. 1922). Rambaud soon turned
his attention to the Slavic world. In La Rustic
ipique (Paris 1876) he presented an interesting
study on the heroic songs of Russia, and his brief
Histoire de la Russie (Paris 1878, 7th ed. 1918;
tr. by B. Lang, 2 vols., new ed. New York 1904)
is a model of clarity and precision. With Ernest
Lavisse he directed the publication of the
Histoire genirale du iv<> siecle a nosjour* (12 vols.,
Paris 1893-1901), to which he contributed sev-
eral excellent chapters on the Byzantine Empire,
on southwestern Europe and on Russia. All his
works, which include several volumes on the
history of French civilization, on the colonial
expansion of France and on African problems,
bear witness to an almost boundless energy, a
truly superior intelligence and remarkable his-
torical talent.
CHARLES DIEHL
Consult Monod, G , m Revue htstonque, vol xc (1906)
344-48.
RAMSAY, SIR GEORGE (1800-71), English
economist. Ramsay's work \vas lacking in
originality, nor was he successful in synthesi/ing
the often new and important ideas eclettically
borrowed from others He \%as without ap-
preciable contemporary influence and has re-
ceived slight subsequent notice. He is sig-
nificant, however, as one of the first English
writers to grasp the \alue of certain concepts
employed by continental economists especially
Destutt de Tracy, J. B. Say and Storch and to
attempt, laudably although unsuccessfully, then-
transplantation to England as supplements to
and improvements upon the views, of the
Ricardians. In his Essay on the Distribution of
Wealth (Edinburgh 1836) he emphasized the
conventional French distinction but recently
utilized by Tooke, Read and Scrope between
capitalist and entrepreneur (called by Ramsay
the "master"), between interest ("the net profits
of capital") and profit ("the profits of enter-
prize"). He analyzed the functions of the
"master," a species of labor and risk bearing,
and stressed the pivotal position occupied by
him in the productive and distributive processes.
According to Ramsay a wage element, a re-
ward for risk bearing, certain monopoly ele-
ments and "surplus gains" are the component
parts of "profits of enterprize." Wages vary
directly as the demand for, inversely as the
supply of, labor. Rent is originally the effect but
later operates as a cause of high prices. The
distributive whole depends ultimately upon the
101
productiveness of industry. The importance of
time in production and in the determination of
value is emphasized particularly. In a shrewd
passage at the close of his Essay Ramsay warned
against any policy that would make British
prosperity dependent upon industrial advan-
tages which must, with the rise of manufactur-
ing competition in the United States and else-
where, prove temporary. Ramsay was the author
also of several unimportant works on politics,
philosophy and psychology.
KARL W. BIGELOW
Consult Sehgman, ERA, Essays in Economics (New
York 1925) p 106-11.
RANADE, MAHADEV GOVIND (1842-
1901), Indian nationalist and social reformer.
Ranade was one of the earliest graduates of
Bombay University, where he later served as
syndic and dean of arts After holding a number
of lower positions m the judiciary he was ap-
pointed judge of the High Court.
Ranade taught that the essence of India is the
continuity of its traditions and forms of thought
and that the true reformer must not destroy but
fuliil their promise. Reform, he held, meant
improvement in every aspect of life. In 1867 he
formed the Prarthana Samaj, a liberal religious
society similar in its theism, rationalism and
eclecticism to Ram Mohun Roy's Brahmo Sa-
maj , although it was more nationalistic than the
older society and more deeply rooted in the
Hindu tradition. He also participated in the
nationalist movement and was one of the found-
ers of the Indian National Congress. As an
educator he tried to introduce vernacular lan-
guages into the university curriculum and he
sponsored the translation into Marathi of stand-
ard English works. His Rise of the Mardthd
Power (Bombay 1900), which deals with the first
national I hndu empire, is written from a nation-
alistic point of view and shows marked scholarly
attainments.
Ranade's name is linked especially with social
service and with the introduction of European
ideas m this field. He was the founder of the
Indian social conference movement and wrote
on India's economic and agricultural problems,
the significance of which he fully appreciated.
He devoted considerable attention to the social
and educational problems of \\omen and with
his wife, Ramabai Ranade (1862-1924), carried
on agitation against child marriage and in favor
of the remarriage of widows; he likewise advo-
cated female education and the abolition of caste.
Encyclopaedia of the Social Sciences
102
Ramabai Ranade was educated by her hus-
band to take part in the work of social reform.
She established at Poona the Seva Sadan (Home
of Service), an institution for Hindu women
which provided religious, literary, medical and
industrial educational facilities and functioned
as a center for social service work. She was
actively associated with the woman suffrage
campaign and is known as one of the pioneers
in the women's movement in India.
HANS KOHN
Consult- Mankar, G. A , Justice M. G. Ranade (Bom-
bay 1902), Andrews, C. F., The Renaissance in India
(London 1912) p. 135-42. For Ramabai Ranade see
Sorabji, S , in Women in Modern India, ed by E. C.
Gedge and M. Choksi (Bombay 1929) p. 25-37.
RANKE, LEOPOLD VON (1795-1886), Ger-
man historian. Ranke was trained in the school
of classical philology and, deeply influenced by
Niebuhr's critical reconstruction of Roman his-
tory, was the first to apply this method of study-
ing sources to the modern history of almost all
the important Romano-Germanic peoples and
of the papacy. In his historical seminar in Berlin,
founded m 1833, and in the works of his most
prominent pupils (Waitz, Giesebrecht, Jaffe and
Sybel) it was extended to mediaeval history.
Ranke's philosophy of history is to be derived
only from a survey of all his work and not
merely from his theoretical essays, for he ex-
pressed his philosophic ideas better when he
wrote history than when he wrote about history.
He was opposed to the tendency of Hegel and
his disciples forcefully to fit facts into a philo-
sophic system With Savigny and Schleier-
macher he was one of the pioneers of the his-
torical school and he recognized the values of
the separate empirical disciplines. Although he
freed himself from his youthful Pietistic lean-
ings, historical development always appeared to
Ranke as a revelation of God lie sought neither
to experience this revelation mystically nor to
construct it philosophically, believing that man
could merely have a presentiment of the inter-
vention of "God's finger" into his destinies. He
looked for the general "ideas" or "tendencies"
of historical epochs not transcendentally "be-
hind" the world of appearance but rather pan-
entheistically within the fully developed indi-
vidual forces themselves. With the doctrine of
the irreducibility of individuals or of collective
individuals, as expressed in his .dictum "every
epoch stands in immediate relationship with
God," Ranke became the father of modern his-
toricism. He remained free, however, of its
relativism, because of his firm faith in Providence
and in an absolute system of ethical values. As
a non-dogmatic, open minded and almost supra-
confessional Lutheran he also avoided Hegel's
historical pantheism and idolization of the state
as well as Schlosser's moralistic or Heinrich
Leo's theological historical writing. He strove
to apprehend historical phenomena "as they
actually were" without any preconceived incli-
nations or evaluations and with the greatest pos-
sible objectivity. He thus sought to gauge with
equal fairness the historical significance of the
papacy and of the Reformation. The dominant
forces in the course of history are revealed,
according to Ranke, in the national and political
individuality of the "great powers," each of
which realizes an "idea of God." Ranke there-
fore applied himself to the study of the leading
powers of the Romano-Germanic world He laid
most stress, however, on their universal aspects
and proceeded genetically and not in a teleo-
logical dialectic manner, like Hegel. In his Welt-
geschtchte he tried to present a harmonious gen-
eral picture of human civilization Nevertheless,
political history occupied the most prominent
place in Ranke's works, while cultural and eco-
nomic history remained in the background.
Ranke's political views were influenced above
all by GenU They were definitely conservative
and based on the concept of a national state and
the idea of the continuity of cultural tradition.
Through his work in connection with the organ-
ization of scientific historical work on a national
basis, as in the Historical Commission m Mu-
nich and the Allgemeine deutsche Biographic, he
contributed to the growth of spiritual national
unity. He did not, however, work in any way
for the more strictly political unity of Germany
before 1866. Sharing the anxiety of the cultured
bourgeoisie over the growing consciousness of
the industrial proletariat, he showed no under-
standing of the social question and he greeted
the events of 1870-71 as the victory of conserva-
tive Europe over the revolution. He participated
actively in politics only on two occasions, both
times to counteract preceding revolutions. From.
1832 to 1836 he directed the Historisch-pohtische
Zeitschrift, which stood midway between the
ideals of French constitutionalism with its claim
for absolute and international value and those
of the extreme Prussian right. After March,
1848, he wrote various memorials for Frederick
William iv of Prussia to strengthen the latter's
resistance to the demands for popular sover-
Ranade Rasin
103
eignty. The Young Germany movement con-
sidered him a reactionary and the Prussian
school of historians looked upon him as too rela-
tivistic and restrained in his judgment and atti-
tudes. For these reasons his scientific influence
was for a time curbed. During the period be-
tween 1850 and 1880 he enjoyed a lesser renown
than the more decidedly political historians,
like Duncker, Droysen, Sybel, Treitschke and
Mommsen. Later, however, despite the empha-
sis of Lamprecht on cultural history, Ranke's
prestige was generally restored, as is evident m
the works of Max Leny, Hermann Oncken and
Friedrich Memecke. Outside of Germany too
Ranke became the model for scientific historians.
ERNST SIMON
Works. Sammtluhe Werke, 54 vols. (Leipsic 1867-90),
a new critical edition \Mth excellent introductions to
each work is in process of publication ed by Paul
Joachimsen and others, ist ser , work vn, vols i-vi,
work ix, vols i-iii (Munich 1925-30)
Consult. Gugha, Eugen \on, Leopold von Rankes
Leben und Werhc (Leipsic 1893), Helmolt, II F
Leopold von Rankes Leben und Wirken (Leipsic 1921)
Dove, A , Ausxemahlte Schnften (Leipsic 1898) ch
Fueter, E , (Jescfnchte der neuercn Historiography
Ilandbuch der rnittelalterhchen und neueren Ge
schichte, vol. i (Munich 1911) p 472-85, Gooch,
G P , History and Historians in the Nineteenth Century
(London 1913) chs \i-\n, Croce, B , Teona e stona
dilla stonografia (jrd ed Ban 1927), tr by D Amshe
(London 1921) ch vn, Masur, G , Rankes Begriff der
Weltgesthichte, Histonsche Zeitschrift, supplement
no 6 (Munich 1926), Simon, Ernst, Ranke und Hegel,
Histonsche Zeitschnft, supplement no 15 (Munich
1928), Memecke, F , Wcltburgerthum und National-
staat (7th ed Munich 1928) bk i, ch \u, Diether,
Otto, Leopold von Ranke als Pohtiker (Leipsic 1911).
RANTOUL, ROBERT, JR (1805-52), Ameri-
can reformer and politician. Rantoul served with
intelligence and zeal various humanitarian causes
as a practising lawyer, lecturer and writer, as
United States attorney for Massachusetts and
as a Democratic member of the Massachusetts
legislature and of the United States Senate and
House of Representatives. A Unitarian, he was
an ardent defender of Catholics against Prot-
estant bigotry. He was a pioneer in the move-
ment for better public support of the common
schools, a friend of lyceums and mechanics in-
stitutes and a valuable advocate in the causes of
international peace and temperance. His report
on capital punishment (1836) influenced reform
in penal legislation in several states and was
widely cited abroad.
Although he was an adherent of the creed that
the best government governed least and always
regarded himself as a JefFersonian Democrat,
Rantoul, witnessing the rapid growth of Ameri-
can competitive capitalism, soon found himself
as a legislator and lawyer actively opposing the
industrial and financial practises which were
"fertilizing the rich man's fields by the sweat
of the poor man's brow." He therefore de-
manded state checks on "accumulated masses of
capital"; he opposed the increasing power and
privileges of corporations and insisted that their
abuses of the credit system and their irrespon-
sible speculation be curbed; and he won the first
victory in the courts of Massachusetts for the
legal right of labor to organize [Commonwealth
v. Hunt, 45 Mass, in (1842)] In defending
leaders of the so-called Dorr Rebellion in Rhode
Island in 1842 Rantoul upheld the rights of his
clients to secure elementary justice through the
only channels open to them. He also cham-
pioned human as against property rights by
securing the condemnation of a ship engaged in
the slave trade and the conviction of its master
and by courageously opposing the Fugitive
Slave Law. For this last he was read out of the
Democratic party.
Rantoul's career, however, embodied the
characteristic contradictions of middle class re-
formers of his age. Although he inveighed
against the social irresponsibility of corpora-
tions, he was not above seeking to build up his
fortune in much the same way. From 1845 to
1850, in association with other Bostomans, he
tried to obtain valuable lumbering and mining
rights to the lands around the headwaters of the
Mississippi River; and m 1851, as representative
of a group of Boston and New York capitalists,
he gained from the Illinois legislature a charter
for the incorporation of the Illinois Central
Railroad Company, to which also a great federal
land grant was to be turned over.
MERLE E. CURTI
Works Memoirs, Speeches and Writings, ed. by Luther
Hamilton (Boston 1854).
Consult: Rantoul, Robert S , Personal Recollections
(Cambridge, Mass 1916), Curti, Merle, "Robert
Rantoul, Jr., the Reformer in Politics" m New Eng-
land Quarterly, vol v (i 932) 264-80, Sumner, Charles,
Complete Works, 20 vols. (new ed. Boston 1900) vol.
in, p. 246-52.
RASIN, ALOIS (1867-1923), Czechoslovak
statesman. Ragi'n was born in Bohemia and pre-
pared for the bar in Prague. As a young man he
took part in the secret political movement, the
Omladina (Youth association), an activity which
led to his being condemned to two years' penal
Encyclopaedia of the Social Sciences
104
servitude (1893-95). In 1911 he became a
member of the Reichsrath, representing the
Young Czech party. After the outbreak of the
World War a military court sentenced him to
death for high treason but this punishment was
commuted to imprisonment, and m 1917 he was
granted amnesty. After the post-war collapse
RaSin became the dominating figure of the
National Revolutionary Committee and the
first minister of finance of the new Czechoslovak
Republic. He was assassinated by a Communist
in 1923.
As the first minister of finance of the new re-
public RaSin had to organize a financial and
currency system, since as a territorial fraction of
Austria-Hungary it had no central departments
of its own. Here he proved his great organizing
ability. He made the banking office of the
Ministry of Finance the central bank of the new
state and effected monetary separation by
stamping the old Austrian banknotes circulating
in the republic. At the same time one half of the
banknotes presented were withdrawn from
circulation by means of a forced government
loan at i percent. Provision was made for the
substitution of state obligations by the imposi-
tion of a capital levy in 1920. In this way the
circulation was diminished and the currency
revalued. RaSm introduced the first budget of
the republic and provided for the first home
credit (liberty loan) and the first external credit
for raw materials and food imports
Strongly individualistic, Rasin believed in
personal responsibility and, as an adherent of a
productive system dominated by the entre-
preneur 'opposed all reliance upon the state. He
separated government enterprises from the state
administration and insisted upon economy.
Ras"fn was a man of iron determination and was
distinguished by candor and audacity, although
his views were sometimes too narrow. The per-
secution he suffered during Austrian hegemony
led him to employ harsh political methods. His
death by violence made him a national martyr
and saint and elevated the idea of well balanced
finances to the status of unwritten law.
CHARLES ENGLI
Works; Muj financnt plan (My financial plan) (Prague
1920), Ftnancnt a hospoddrskd pohtika ceskoslovenskd
do konce roku IQZI (Prague 1922), tr. as Financial
Policy of Czechoslovakia during the First Year of Its
History, Carnegie Endowment for International Peace,
Economic and Social History of the World War,
Czechoslovak series (Oxford 1923).
Consult: Kozak, J., Ceskoslovenskd financni politika
1918-30 (Financial policy of Czechoslovakia 1918-30)
(Prague 1932); Chanal, A , Monnaie et tconomie na-
tionals en Tchtcoslovaquie (1918-1928) (Pans 1929).
RATE REGULATION in the common usage
of the term in the United States is concerned
with the fixing of prices to be charged by public
utilities. Usually these are enterprises furnishing
transportation, communication, heat, light,
power, water and the like and it is with such
businesses that this article deals.
The English common law, perhaps continuing
familiar church doctrine regarding the just price,
gave ample recognition to the power of the state
generally to control prices in the public interest.
As late as the eighteenth century virtually any
calling which a man pursued for profit was con-
sidered a common calling and treated as public
in a sense akin to the modern. All such callings
were under duty to serve the public at reason-
able rates, and from time to time they were sub-
jected to price fixing either by Parliament di-
rectly or through the delegated authority of the
justices of the peace. English example crossed
the Atlantic. Statutes in colonial America es-
tablished prices for many of the staple com-
modities and services. As the economics of
Adam Smith won its way in the congenial men-
tal climate of the nineteenth century American
law, however, this long experience was dis-
credited when not forgotten, and the assump-
tions upon which it rested were in great part
repudiated. Ultimately this reversal of opinion
was written into state and federal constitutions
by the lawyers and judges of the latter part of the
century. The resultant contemporary separation
of industry into businesses that are "public,"
and hence susceptible to manifold forms of con-
trol, of which price supervision is one aspect,
and all other businesses, which are private, is
thus a break with history. But it has built itself
into the structure of American thought and law;
and while the line of division is a shifting one
and incapable of withstanding the stress of eco-
nomic dislocation, its existence in the last half
century made possible, within a selected field, a
degree of experimentation in governmental di-
rection of economic activity of vast import and
beyond any historical parallel.
The survival of a few of the traditional com-
mon callings provided the nucleus from which
developed by enlargement the modern category
of public utilities. Chief among them was the
common carrier, given new form and acquiring
new importance with the perfection of the steam
engine. The growth of railroads compelled legis-
Rasin Rate Regulation
lative protection of the public against extortion-
ate tolls. This purpose was commonly given
effect in conditions attached to the grant of the
privilege of incorporation, following the method
employed in the case of the familiar bridge, canal
and turnpike companies. Thus the charter itself
frequently fixed specific tolls or reserved power
in the legislature to change those fixed by the
carrier or, often, provided limitations upon net
earnings. But such methods of control were at
once too tenuous and too inflexible to meet the
exigencies of a transportation system fast out-
growing all possible anticipations of the incor-
porating legislatures. Even before the Civil War
several states paved the way to subsequent de-
velopment by experimenting with rudimentary
forms of continuous administrative supervision.
After the war both agrarian and industrial pres-
sures made the problem of control acute. In the
1870*8 legislation growing out of the Granger
movement and in 1887 the creation of the Inter-
state Commerce Commission served to establish
beyond controversy the principle of railroad rate
regulation and to fix the administrative as the
normal method of giving effect to it, definitely
superseding rate fixing by charter or statute.
Other utilities from another beginning took a
different course to a similar end Water com-
panies and light companies, first gas and then
ciectricity, requiring franchises for the use of
city streets, were originally regulated through
franchise grants. Since their activities were con-
fined in the beginning to individual communi-
ties, regulation by such localities sufficed.
Gradually, however, the extension of the area of
service by the utilities, their grow ing importance
in economic life and the enormous power both
economic and political which they exerted com-
bined to create the necessity and the demand for
more effective regulation. Meanwhile new forms
of analogous public services, like pipe lines and
electric power, patently beyond the reach of any
but state authority, were coming under legisla-
tive scrutiny. Under these conditions the move-
ment to establish public service commissions
with state wide authority over all classes of
utilities grew into one of the most significant
legislative developments of the twentieth cen-
tury. The issues were early made vivid by
Theodore Roosevelt in the nation and such men
as La Follette of Wisconsin, Hughes of New
York and Dolliver of Iowa in the states. In 1907
Wisconsin and New York led the way in adopt-
ing legislation. Today tribunals of like character
exist in all the states but Delaware, commonly
105
exercising over the utilities broad powers with
respect to rates, accounts, conditions of service,
finance and management.
The legal conception of a public utility was
established and applied to an ever widening
group of services in the face of powerful currents
of both thought and action, tending to the in-
sulation of business from government. In a
society committed to the general principle of
free competition the economic justification of
rate regulation in particular industries has
naturally been framed in terms of the excep-
tional conditions prevailing in those businesses.
Public utilities as a class lend themselves readily
to such an analysis. On the affirmative side the
argument of free competition as the automatic
price regulator and public protector has not even
doctrinaire validity; on the negative side the
practical difficulties which ordinarily surround
the enterprise of governmental price fixing are
of greatly diminished force. The factors limiting
the effectiveness of competition as a normal
regulator of prices are cumulative Fundamental
is the peculiarly functional relationship which
the utilities characteristically bear to the eco-
nomic order as a whole. Transportation, com-
munication, light and power are the keystones
of an integrated industrial structure, control of
which is attended by extraordinary economic
power. Such power lends itself to abuse and
tends to be concentrated in relatively few hands.
For the utilities as a group are either enterprises
which move toward monopoly or those whose
highest efficiency may be reached under mo-
nopolistic operation. This characteristic may be
due to a variety of reasons, such as the necessity
of unitary management for adequate service, as
in the case of telephones and telegraphs, or
the limited capacity of city streets, as in the case
of most municipal utilities. Most strikingly and
most generally it grows out of the huge invest-
ment in plant required in proportion to current
income, the operation of that plant largely at
joint cost and the consequent necessity of a large
and steady volume of traffic to maintain the in-
vestment. These circumstances render complete
competitive duplication of facilities improbable
or impossible and make duplication, so far as it
exists, wasteful and uneconomic. New com-
petitors are slow to enter and old ones slow to
leave an industry in which participation involves
so large a stake. Monopoly once secured thus
tends to perpetuate itself; while competition, if
it exists, offers only the alternatives of combina-
tion or of destructive price cutting, designed to
Encyclopaedia of the Social Sciences
106
maintain volume at any cost. The experience of a
century with railroads, and for shorter lengths
of time with other utilities, attests the abuses of
instability and waste, of alternating high rates
and ruthless price cutting, of inadequate service
and discrimination, which follow from a regime
of unregulated competition.
Similar factors create conditions especially
favorable for regulation. Competitors are few;
and heavy expenditure together with the usual
necessity of governmental permission to engage
in the business prevents mobility of entrance
and exit from it. The problem of supervision
and control of investment is thus simplified.
Because the businesses consist typically in the
dispensing of services which are not, like tan-
gible goods, susceptible either of being withheld
from the market or of flooding it, private manip-
ulation of prices through control of supply is
difficult or impossible. Hence an area is marked
out in which governmental price fixing may
operate effectively even in the context of an
economy basically laissez faire.
Some such economic considerations underlie
the decisions of the Supreme Court on the con-
stitutional power of the states and the federal
government to regulate rates, but the reasoning
has seldom been explicit. This is due partly to
the relative novelty of the problem. The earliest
decision upholding a state's power to regulate
rates under appropriate circumstances is scarcely
more than half a century old; and the legal basis
for denying it under any circumstances is only
eight years older. In 1876, when the potential
breadth of impact of the Fourteenth Amend-
ment upon restrictive state legislation was as yet
scarcely imagined, statutes of middle western
states regulating the rates of grain elevators and
of railroads were attacked under the due process
clause [Munn v. Illinois, Chicago, B. & Q.
R R.Co. v. Iowa, Peik v. Chicago & North-
western Ry. Co , 94 U.S. 113, 155, 164 (1876)].
Chief Justice Waite's judgments sustaining the
measures rested heavily upon the practical cir-
cumstances of monopoly and the inadequacy of
normal competition to protect the public; in
none of the cases did he make serious effort to
mark out the limitations upon state power. But
in justifying a conclusion otherwise arrived at he
quoted a passage from Lord Chief Justice Hale's
essay on the ports of the sea: "Looking then,"
Waite said, "to the common law, from whence
came the right which the Constitution protects,
we find that when private property is 'affected
with a public interest, it ceases to be juris privati
only.' " By reading into this colorless statement
a negative principle justified neither by history
nor by the context, decisions of the last twenty
years have made Waite 's opinion serve a purpose
for which it plainly was not intended, have
authoritatively set up the verbal canon of affec-
tation with a public interest as determining
legislative power to fix prices in a particular
business. The history of this development is
traced by Justice Brandeis in his dissenting
opinion in the New State Ice Company v.
Liebmann [285 U S. 262 (1932)].
The words themselves are palpably empty.
Chief Justice Taft essayed definition by classify-
ing types of enterprise within their ambit: first,
businesses "carried on under the authority of a
public grant of privileges which either expressly
or imphedly imposes the affirmative duty of
rendering a public service demanded by any
member of the public"; secondly, "certain oc-
cupations, regarded as exceptional, the public
interest attaching to which, recognized from
earliest times, has survived the period of arbi-
trary laws by Parliament or Colonial legislatures
for regulating all trades and callings"; and,
finally, as a catchall, "businesses which though
not public at their inception may be fairly said to
have risen to be such and have become subject
in consequence to some government regulation"
[Wolff Packing Co. v. Court of Industrial Re-
lations, 262 U.S. 522 (1923)]. Into the third
category the court has received the businesses of
insurance and of livestock and insurance brok-
ers; it has in specific instances excluded that of
vendors of gasoline, of theater ticket brokers and
of employment agencies, as not then "affected
with a public interest" [Tagg Bros. v. United
States, 280 U. S 420 (1930)]. The category is still
open; nor may it be expected soon to become
closed. For in essence the futile efforts at dog-
matic statement of doctrine cover a clash of
opinion on a far reaching issue; namely, to what
degree free competition is so complete a protec-
tion to the public interest as to render arbitrary
any governmental departure from it. That issue
remains open and will call for continuing ac-
commodation so long as our politico-economic
system is based on individualism.
The controversy over new admissions into the
magic circle of public utilities is an aspect of the
general problem of price regulation. Within the
circle the critical issues are different. Like every
other aspect of expanding governmental activity
in the United States, rate regulation has pre-
sented for preliminary determination manifold
Rate Regulation
questions involving the harmonious adjustment
of power within the federal system. The most
intricate of these have been concerned with rail-
roads, for their development most palpably
transcended arbitrary state lines and abstract
conceptions of state and national authority Here
too, where experience has been longest and
pressure for effective action most insistent, the
adjustment has been worked out in greatest de-
tail. Originally the Supreme Court appeared to
sanction state regulation of interstate rates in the
absence of congressional action [Peik v Chicago,
Northwestern Ry. Co., 94 U.S. 164 (1876)] In
1886 by repudiating this construction of its de-
cision (Wabash, St. L. & P. Ry. Co. v. Illinois,
1 1 8 U.S. 557, 567, 569) it gave effective impetus
to the passage of the Interstate Commerce Act of
1887. The movement finally culminated in the
curtailment of state power even over intrastate
rates. The court began by upholding in sweep-
ing terms the states' authority to establish intra-
state rates in the absence of federal action
[Minnesota Rate Cases, 230 U S. 352 (1912)].
But thereafter it upheld successively the power
of the commission, under the original act, to set
aside such rates if they discriminated unduly
against particular persons or places in interstate
commerce [Shreveport Rate Cases, 234 U S. 342
(1914)] and the extension of its authority in 1920
to prescribe intrastate rates in lieu of existing
ones discriminating against interstate or foreign
commerce generally [Wisconsin Rate Case, 257
U.S. 563 (1922)]. The ultimate adjustment,
however, has been achieved, not by the general
terms of congressional legislation or in occa-
sional explosions of litigation before the court
but by the day to day work of the commission,
which on the whole has exercised its plenary
power with statesmanlike regard, on the one
hand, for the necessities of a national transpor-
tation system and, on the other, for the desira-
bility of harmonious cooperation between the
Interstate Commerce Commission and state
regulatory bodies, with a minimum of encroach-
ment upon the latter 's authority.
Effective collaborative action between federal
and state administrative agencies is still unreal-
ized in other fields. Particularly in respect to
interstate power, where the situation is of com-
parable gravity, the utilities have for some time
eluded control. The jurisdiction of the receiving
state over retail distribution has apparently been
recognized [Pennsylvania Gas Co. v. Public
Serv. Comm., 252 U.S. 23 (1920); compare East
Ohio Gas Co. v. Ohio Tax Comm., 283 U.S.
107
465 (1931)], but over wholesale distribution it
has been definitely denied [Public Utilities
Comm v. Attleboro Steam & Elec. Co , 273
U.S. 83 (1927); Missouri v. Kansas Natural Gas
Co , 265 U.S 298 (1924)]. Meanwhile effective
exercise of authority has been hampered by
multifarious difficulties in obtaining adequate
information and enforcing decisions, arising es-
pecially from confusion of intercorporate rela-
tions. In Smith v. Illinois Bell Tel. Co. [282 U.S.
133 (1930)], however, the court indicated how
intercorporate interests might be divided for the
purpose of bringing them under different regu-
lative authorities. Control by the Federal Power
Commission reorganized in 1930 is confined to
licensees of federal power sites, and the provi-
sions of the act of 1920 looking toward federal
and state cooperation have yet to bear substan-
tial fruit in action. Legislation is bound to en-
ter this field with more comprehensive control.
Of a wholly different nature from problems of
jurisdiction but of no less moment are the issues
of constitutionality centering around procedural
and substantive aspects of the rate fixing process
itself. These are issues of conformity to whatever
may be the requirement drawn from the due
process clauses of the Fifth and Fourteenth
amendments and they exist only because of the
decisions of the Supreme Court. The earliest of
these decisions disclaimed all concern with such
questions. If the rate "has been improperly
fixed," said Chief Justice Waite, in first sustain-
ing railroad rate regulation, "the legislature, not
the courts, must be appealed to for the change"
(Peik v Chicago, Northwestern Ry. Co). But
this judicial self-abnegation did not long survive
the pressure of distrustful property holding
groups soliciting protection from unrestrained
legislative action. There were several warnings
of a different view, and in 1890 the court
definitely adopted the position that "if the com-
pany is deprived of the power of charging rea-
sonable rates for the use of its property, and such
deprivation takes place in the absence of in-
vestigation by judicial machinery, it is deprived
of the lavs ful use of its property, and, thus, in
substance and effect, of the property itself, with-
out due process of law . . . ." (Chicago, M. &
St. P. Ry. Co. v. Minnesota, 134 U.S. 418).
This step was scarcely less important in pro-
cedural than in substantive law. The court did
not stipulate, and it never has stipulated directly,
any particular procedure in the fixing of a rate as
an essential of due process. But it was indis-
pensable to the success of the administrative
Encyclopaedia of the Social Sciences
108
method that the party demanding "investigation
by judicial machinery" should not be able to
compel every step in the administrative process
to be retraced afresh in court. Questions of law
must be reexamined by a judicial tribunal.
Questions of fact, the Supreme Court holds,
need not be so reexamined if, but only if, the
administrative procedure conforms to elemen-
tary fairness, without which judgment becomes
arbitrary. The tribunal must grant a proper
hearing to the parties affected: it must decide
upon the evidence presented at the hearing, and
there must be evidence in the record to support
its findings. In the enforcement of these stand-
ards the courts primarily the Supreme Court
have at once strengthened the essential ad-
ministrative arm of government and protected
private individuals against its arbitrary conduct,
besides having evolved empirically a body of
administrative law relevant in other fields of
governmental activity. In one important group
of cases, however, the court seized for the ju-
diciary power that plainly belongs to the ad-
ministrative experts, if they have any ration
d'etre. In Ohio Valley Water Company v. Ben
Avon Borough [253 U S. 287 (1920)] it decided
that in rate controversies involving the issue of
confiscation due process of law required that
administrative findings of fact be open to inde-
pendent reexamination in a court. This doctrine
may be accounted for by judicial distrust of the
non-judicial determination, even indirectly, of
issues of constitutional right; by the extent to
which in rate proceedings questions of law turn
upon questions of fact; and above all by the vast
interests that are at stake and the distrust of
governmental curbs to big business at the time a
divided court rendered the decision. In practise
a genuinely independent judgment by the court
is almost impossible by reason of the multi-
tudinous details and their recondite significance;
yet the Ben Avon case remains a sword of
Damocles hanging over the regulatory systems,
especially those of the states.
But it is in giving content to the substantive
limitation announced in the early Minnesota
rate cases that the Supreme Court has most de-
cisively influenced the course of rate regulation.
By that decision the court projected into every
rate proceeding, state or federal, a potential issue
of the denial of due process of law as guaranteed
by the Fifth and Fourteenth amendments. The
issue was of a character unfamiliar to the courts;
save for the simple and scarcely adequate con-
cept of reasonableness, the common law fur-
nished no canons for determining when the rates
which a utility was permitted to charge had been
reduced to the point of confiscation. The opinion
in the famous case of Smyth v. Ames [169 U.S.
466 (1898)] gave the first indication of how the
court was going to attack the task of formulating
such canons. The court undertook to measure
the reasonableness of rates to be charged by a
utility by inquiring into the return which they
yielded; and it set out to determine the fairness
of the return by inquiring into the value of the
property which was used to earn it. Later de-
cisions have brought into sharper focus another
element of the decision, have made clear that in
speaking of "the fair value of the property being
used for the convenience of the public" the
court meant the present value of that property.
Out of this effort to tie rate regulation, as a
matter of constitutional right, to a perennially
shifting and inherently unstable rate base have
flowed the most troublesome of the problems
which ever since have beset the courts and the
commissions. By a process of self-delusion not
uncommon to judges when casting grave issues
of public policy into the mold of law, the court
seemed unaware that it was trying to formulate
into legal principles and doctrines what were
really determinations resting largely in opinion
quite outside the orbit of judicial insight or ex-
perience.
Justice Brandeis, whose concurring opinion
in the Southwestern Bell Telephone Company
case [262 U S. 276 (1923)] is the classic refuta-
tion of the doctrine of present value, explained
its emergence in terms of the conditions follow-
ing the panic of 1893. "Watered stock, reckless
financing, and unconscionable construction con-
tracts" had created fictitious capital values far in
excess of those on which the shippers believed
the railroads should be permitted to earn a re-
turn. At that time supervised accounting and
financing had not yet been introduced to pro-
vide reliable proof of actual cost and investment.
Accordingly, in Smyth v. Ames, William Jen-
nings Bryan as counsel, representing shippers in
agricultural communities, urged upon the court
estimates of the present value of the railroad
properties, which in a time of low prices were
estimates of reproduction cost. A different ex-
planation, however, must be sought for the
Supreme Court's continued adherence to a rule
thus established under conditions which no
longer obtain. Basic was the conviction, rooted
in attitudes toward the social justification of the
stimulation of investment through its amplest
Rate Regulation
protection, that utility investors should not be
deprived of the benefit from appreciation of
capital incident to investment in all other enter-
prises. The test of present value has been de-
fended as a flexible instrument of accommoda-
tion to changes in the price level, doing equal
justice to the public and the utility owners and
making possible the attraction of new capital
The determination of utility rates and the as-
certainment of the rate base are essentially eco-
nomic problems But no judicial pronounce-
ments upon matters fundamentally economic run
so counter to the views of economists as do the
predepression utterances of the Supreme Court
upon present value. The theoretical unfairness
of the doctrine has been repeatedly pointed out,
for common stockholders benefit out of all pro-
portion from increases in the price level ap-
preciating the value of the entire property,
whereas holders of bonds and preferred stock
bear the risk of decreases without corresponding
possibility of gain. Most conclusively, however,
is the doctrine condemned by experience; the
test of thirty-five years has powerfully demon-
strated its unworkabihty. The Supreme Court
itself has as yet been able to furnish no calculus
of present value; and it becomes increasingly
clear that none can be furnished, for uncertainty
inheres in the standard.
The consequence has been, in every impor-
tant rate fixing proceeding, a preoccupation,
lasting sometimes for years, with contention
over fanciful elements in quest of a rate base;
that is, a supposedly objective mathematical
ascertainment, in fact illusory, of the amount on
which the allowable rate of return must be fixed.
This procedure has entailed an incredible waste
of time and money and inevitably embittered
relations between the utilities and the public.
Thus in a leading valuation controversy m New
York over telephone rates the litigation began
before a commission in 1920 and went its snail-
like pace through the federal court until 1930.
Half a dozen estimates of value by the com-
mission, the master appointed by the court, the
court itself and the company's experts, all pur-
porting to apply the Supreme Court's formula
ranged between $366,000,000 and $615,000,000.
A similar case in Chicago was in the federal
courts for more than ten years and had not been
concluded at the end of 1933 . In the latter case it
cost $25,000 to print the record of the proceed-,
ings for review by the Supreme Court. The
whole process is fundamentally an elaborate
fiction. In the end rates are fixed which reflect
no other reality than that of compromise, reen-
forced partly by the superior advantage of the
utilities in litigation.
Actual cost, capitalization, prudent invest-
ment, cost of reproduction either of the existing
plant in present use or of a modern plant giv ing
equivalent service, these and many other ele-
ments have been pressed for consideration in
diverse cases involving rate bases, and in various
situations the propriety of all of them has been
recognized. Necessarily the formula depends
upon particular conditions the past, present and
probable future level of prices, the history of the
company and the conditions of its property No
formula can survive serious changes in these ele-
ments of the problem
Dominant effect, the court has indicated in a
series of decisions antedating 1932, must nor-
mally be given to reproduction cost To ascertain
the expense of constructing a railroad, a power
plant or a telephone system in the midst of a
community which could have no existence with-
out them is to operate on an unreal In pothcsis
and requires calculations upon assumptions
foreign to human experience It is not surprising
therefore that the Supreme Court has ne\ er pro-
vided the commissions with workable intellec-
tual tools for making the determination The so-
called rules constitute a ma/e, their operation in
practise descends into a process of economic
legerdemain whereby those who control utilities
through narrow equities are enabled to seek con-
stitutional sanction for speculatne gams.
Nor has it pro\ed to be true that the rule of
present value proudes a means of flexible ad-
justment to changing price le\els The process
of valuation is too ponderous to permit flexi-
bility under any circumstances In practise
moreover initiative in rate proceedings is more
often taken on behalf of the utilities than of the
public, the hands of the commissions are vari-
ously stayed in beginning actions for reduction,
by lack of time, money, will or authority. More
important still, in times of depression the doc-
trine of present value will not bear a rigid appli-
cation in favor of the public. A deflated price
structure is not responsive to the assumptions of
a theory sedulously cultivated by the utilities
during high prices; it produces a theoretical base
too low to permit fixed charges, assumed at
higher levels, to be met the more so because
decreasing traffic raises operating costs and
earnings shrink even under existing rates. Thus
while, obedient to theory, rates may rise with
prices when business papers <nd profits swell
Encyclopaedia of the Social Sciences
no
with heavier traffic, under opposite conditions
they fall less rapidly or not at all.
For all these reasons the practical result of the
control evolved by the Supreme Court over rate
regulation has been to put the constitution be-
hind the right to earnings on utility investments,
to an extent that contradicts the very basis on
which governmental intervention rests. Indeed
the judicial doctrine of valuation sanctions what
the utilities themselves, as a matter of business,
cannot practise. As a matter of "good business
judgment" utilities commonly charge rates
which, if established by the commissions and
attacked in the courts, would be declared con-
fiscatory and unconstitutional under the doc-
trine of a reasonable return on present value. On
the other hand, as the point of confiscation drops
with falling prices, utility rates habitually lag far
above it, subject only to delayed and intermittent
attacks by public authorities, the basis of which
is liable to be destroyed at any time by price
recovery. The depression which began in 1929
is replete with proof of this experience.
The difficulties with the method of determin-
ing the rate base, as developed under the rule of
Smyth v. Ames, have their counterpart in the
attempt to determine what is a reasonable rate of
return. For by similar reasoning the utility is en-
titled to a return at a rate determined by the
present condition of the money market, without
regard to the price actually being paid for
capital already invested. Hence common stock
dividends, already swollen by inflated valuation,
may benefit doubly from allowance of a higher
rate of return. Similar uncertainty too beclouds
the method of computation. Although the Su-
preme Court has indicated that the rate should
be that generally ruling investments of compar-
able risk at the same time and place, the usual
practise in rate cases is to submit opinion testi-
mony by bankers or other persons as to the rate
currently necessary to attract new capital, a test
which in times of business stress may lead to an
altogether different result. Since 1929, however,
several federal district courts have upheld rate
reductions ordered by commissions, holding
that a fair return in times of depression should
be calculated at a lower rate than in periods of
prosperity.
Questions concerning the rate of return are,
however, overshadowed in practise by contro-
versies about valuation and the rate base, where
the opportunity for inflated claims is greater.
The reluctance of courts to recognize directly
the necessity of a relatively high rate of return
has contributed also to their willingness to per-
mit adjustment of the rate base to serve in part
the function of adjustment of the rate of return.
The two problems are inextricable; a workable
technique for computing fair return must await
satisfactory determination of the elements to be
considered in computing fair value.
The importance of the constitutional aspects
of rate regulation is the greater because they in
effect control proceedings not only in the courts
but before the commissions. In theory the duty
of a commission under the statute is to set a
reasonable rate, and between the statutory
standard of reasonableness and the constitu-
tional one of confiscation there may well be a
substantial margin. In practise, however, the
line of confiscation is likely to be so high that the
pressure of circumstances, and not least the de-
sire not to run foul of the judiciary, will be to set
the rate as near that line as possible.
But the problem of confiscation has only to do
with the general level of rates. That level being
fixed to allow a fair return on the property as a
whole, administrative considerations have freer
play in the determination of particular rates. It
is here that rate regulation has achieved its most
substantial accomplishment and has amply justi-
fied itself. Particularly in the case of railroad
rates, which have been regulated far more
minutely and effectively than those of other
utilities, the most intricate problems concern the
adjustment of tariffs for different commodities
and hauls. In the making of these adjustments
the Interstate Commerce Commission and the
several state commissions exercise vast powers
over the development of communities and in-
dustries. To a lesser degree similar problems and
similar interests attend the adjustment of differ-
entials in telephone and telegraph rates and rates
for light and power. Joint costs being high and
accurate allocation of costs to particular services
impossible, the controlling considerations tend
to be the assurance of adequate service through-
out the area as a whole, without regard to loss at
particular points, and the fullest possible pro-
motion of the economic development of the en-
tire community. Moreover the constitution can-
not be invoked against state policy in treating a
localized part of a larger system as the unit in
determining the rate base [Wabash Valley Elec.
Co. v. Young, 287 U.S. 488 (1933)]. In such
conflicts among groups of consumers the in-
clination of the courts has been strongly toward
accepting the administrative judgment. And
while discrimination in rates was originally a
Rate Regulation
dominant factor in the movement for regulation,
particularly in respect to railroads, similar com-
plaints are now of comparatively minor impor-
tance.
The adoption of the modern machinery of
utility rate regulation during the decade prior to
the World War was accomplished upon a wave
of popular enthusiasm In the post-war decade,
however, skepticism and discouragement tended
to supplant the earlier feeling of hope. Particu-
larly in the leading industrial states criticism
was voiced against the failure of utility rates to
reflect decreased operating costs due to tech-
nological improvements, against the costly fu-
tility of rate proceedings and against failure of
the commissions to exercise skilled initiative in
the promotion of the public interest. Conviction
has been gathering that the regulatory systems
do not realize but even operate to defeat the aims
for which they were designed. This change of
temper is no doubt partly a reflex of the different
price levels obtaining before and after the war.
When the commissions began to operate, rates
were widely believed to be unreasonable; some
measure of success at first attended the efforts
to secure their reduction. With the great rise in
prices after the war the commissions became
more often instruments for the increase of
utility rates than for their decrease. Dissatisfac-
tion with the workings of the system, however,
has still deeper roots. In a wide variety of con-
crete instances the machinery of utility regula-
tion has shown increasing strain. Revealed
shortcomings in administration and legislation
and in the judicial doctrines to which they are
required to conform have been accentuated by
the stress of new economic forces and by the in-
genuity of the utilities in devising unanticipated
means of eluding effective control. Beyond ques-
tion successful regulation cannot be achieved
upon a permanently unstable and incalculable
rate base.
The difficulties inherent in the methods im-
posed by the judiciary upon administrative
agencies have been intensified by the quality of
their personnel. Almost everywhere the commis-
sions have been inadequately staffed, over-
burdened by detail, denied necessary technical
aid, dependent on meager salaries and without
security of tenure. The hope behind public
utility legislation during the era of Theodore
Roosevelt was a body of administrators intellec-
tually as well equipped as the higher officials in
the British Civil Service and exercising inde-
pendence and authority comparable with thaten-
III
joyed by judges in the United States. A few men,
like John M. Eshleman of California, George W.
Anderson and Joseph B. Eastman of Massa-
chusetts, Milo R. Maltbie of New York and
David E Lilienthal of Wisconsin, vindicated
that hope. But in the main the public interest has
suffered from too many mediocre lawyers ap-
pointed for political considerations, looking to
the Public Service Commission not as a means
for solving difficult problems of government but
as a step toward political advancement or more
profitable future association with the utilities.
As a result there has been inequality in expertise,
in will and in imagination between the utilities
and the regulatory bodies. Thus, with only a
few notable exceptions, the utilities have com-
manded the services of the best of the engineer-
ing profession on those technical issues which
are so central in valuation controversies.
Nor has legislation been adequately respon-
sive to the shifting exigencies of the problem.
Many commissions lack adequate authority in
various directions: they cannot enforce proper
accounting methods, initiate proceedings for
rate regulations, compel disclosure of essential
information, inquire into the hide and seek
mysteries of intercorporate relations. Especially
have the efflorescence of the holding company
and the organization of auxiliary companies for
management, construction, purchase and finance
created intricacies of technical ownership and
practical control before which the investigating
authority has often been helpless. Yet these very
devices serve powerfully to sustain schemes for
inflated values. These difficulties have been
further enhanced by expansion of activity across
state lines, so that effective legal control falls too
frequently between the two stools of state and
federal authority.
Pessimism as to the future of rate regulation,
however, has nowhere been so profound as to
suggest return to unregulated private enterprise;
rather it has contributed to the impulse in quite
the opposite direction, that of public ownership.
To be sure, this development, even in the face
of grave abuses and growing discontent, en-
counters the obdurate and stimulated traditions
of the United States against government in
business. On the other hand, government own-
ership as a yardstick gives every assurance of
being powerfully promoted by the Tennessee
Valley Authority. The reactive effect of this
government enterprise upon electric rates of
pnvate companies has already made itself felt.
To the extent that public opinion will not be
Encyclopaedia of the Social Sciences
won to public ownership strengthening of the
existing regulatory system is plainly indicated.
Another mode of accomplishing the old objec-
tives of utility regulation is by contract arrange-
ments between municipalities or states and
grantees of public franchises. Whatever the
forms of the attempted solutions, problems of
utility rate regulation so long as private enter-
prise survives are at once the epitome of
crucial and characteristic issues of contemporary
government and the test of its resources. Not
until those resources, as to both men and
method, have been explored far more patiently,
persistently and imaginatively than they have
been, will anything approximating a final verdict
upon the undertaking be feasible.
FELIX FRANKFURTER
HENRY M. HART, JR.
See- GOVERNMENT REGULATION OF INDUSTRY, PRICE
REGULATION, PRICE DISCRIMINATION, PUBLIC UTILI-
TIES; MONOPOLY, PROFIT, FAIR RETURN, VALUAIION,
JUST PRICE, CONSTITUTIONAL LAW, Dut PROCESS OF
LAW; RAILROADS, TELEPHONE AND TELEGRAPH, ELEC-
TRIC POWER; GAS INDUSTRY, MUNICIPAL TRANSIT,
INTERSTATE COMMERCE COMMISSION, GOVERNMENT
OWNERSHIP.
Consult. Hamilton, W. H , "Affectation with Public
Interest" in Yale Law Journal, vol. xxxix (1929-30)
1089-1112; Adler, E. Q, "Business Jurisprudence"
in Harvard Law Review, vol xxvm (1914-15) 135-62,
Dickinson, John, Administrative Justice and the Su-
premacy of Law in the United States, Harvard Univer-
sity, Studies in Administrative Law, vol u (Cam-
bridge, Mass. 1927) ch. in, especially pts v-vi, ch vi,
and ch vn, pts n-iu, Clark, J. M , Social Control of
Business (Chicago 1926), especially chs xvm-xxvi;
Shchter, S II , Modern Economic Society (New York
1931) chs. xvii-xvin; Frankfurter, Felix, The Public
and Its Government, Yale Lectures on the Responsi-
bilities of Citizenship (New Haven 1930) ch. m, Clay,
C. M., Regulation of Public Utilities, a Crucial Problem
in Constitutional Government (New York 1932), Bauer,
John, Effective Regulation of Public Utilities (New
York 1925), Public Utility Regulation, ed by M. L.
Cooke (New York 1924), Smith, Nelson L , The Fair
Rate of Return in Public Utility Regulation (Boston
1932); Maltbie, W H , Theory and Practice of Public
Utility Valuation (New York 1924), Dorety, F. G ,
"The Function of Reproductive Cost m Public Utility
Valuation and Rate Making" m Harvard Law Review,
vol. xxxvn (1923-24) 173-200, Richberg, D. R , "The
Supreme Court Discusses Value," and "Value by
Judicial Fiat" in Harvard Law Review, vol xxxvn
(1923-24) 289300, and vol xl (192627) 567-82;
Powell, T R, "Protecting Property and Liberty,
1922-1924" in Political Science Quarterly, vol. xl
(1925) 404-13, Lihenthal, D E , "Regulation of Pub-
lic Utilities during the Depression" in Harvard Law
Review, vol xlvi (1932-33) 745-75; Henderson, G. C.,
"Railway Valuation and the Courts" in Harvard Law
Review, vol xxxiu (1919-20) 902-28, 1031-57; Rip-
ley, W. Z , Railroads; Rates and Regulation (new ed.
New York 1913), Sharfman, I. L., The Interstate
Commerce Commission; a Study in Administrative Law
and Procedure, vols 1-11 (New York 1931- ); United
States, Congress, Senate, Select Committee on Inter-
state Commerce, Report, 49th Cong , ist sess., Senate
Report no. 46, 2 vols. (1886) vol i, p 40-137, Elec-
trical Utilities; the Crisis in Public Control, ed. by
W. E. Mosher (New York 1929), Pennsylvania, Giant
Power Survey Board, Report (Harrisburg 1925); New
York State, Commission on Revision of the Public
Service Commissions Law, Report, Legislative Docu-
ment no 75 (Albany 1930), Barnes, I. R., Public
Utility Control in Massachusetts, Yale Publications in
Economics, Social Science and Government, no 2
(New Haven 1930), especially chs m-vi, Los Angeles
Gas Co v R. R. Commission, 289 U. S. 287 (1933);
Wilcox, D. F., Municipal Franchises, 2 vols. (Roch-
ester, N. Y. 1910-11).
RATHENAU, WALTHER ( 1 86 7 -i92 2 ), Ger-
man statesman and social philosopher. Rathenau
was the son of the famous German-Jewish in-
dustrialist, Emil Rathenau, the founder of the
Allgemeine Elektnzitats-Gesellschaft (A.E.G.)
Although he was active in business and suc-
ceeded his father as head of the A.E.G , he is
known primarily as a social theorist and political
leader. In the early days of the World War he
foresaw the possibilities of a long struggle and
was entrusted with the organization of the sup-
ply of raw materials. He was opposed to Ger-
many's surrender in 1918 and favored a call for a
levee en masse as a last stand against the Allies.
After the founding of the republic, however, he
became the leading exponent of the so-called
"policy of fulfilment" according to which Ger-
many should comply with the reparations obli-
gations of the Versailles Treaty but continue to
expose the utter impossibility of carrying out
the treaty in its entirety. Rathenau occupied
high posts under the republic, represented
Germany at various important international
conferences, negotiated the important Rapallo
Treaty with Russia in 1922 and greatly increased
German prestige during the post-war period.
But his personality as well as his success brought
him dangerous enemies, and he was assassinated
on June 24, 1922, by members of a nationalist
terrorist organization.
As a social theorist Rathenau was interested
in problems of foreign and domestic policy, of
economics and of social development, and was
profoundly concerned about the dangers to
European culture entailed in industrial develop-
ment. Like many of his generation he developed
a skeptical attitude toward progress and an op-
position to the mechanization of labor. He de-
plored this mechanization with its specialization
Rate Regulation Rationalism
and abstraction, stereotyped thinking and com-
plicated uniformity as the characteristic mark of
the age. A second point which dominated his
thought was the problem of selection. Rathenau
was of the opinion that the economic system
under high capitalism was becoming sterile be-
cause it was dominated by an oligarchy, even
more exclusive than the older aristocracy, which
did not understand how to recognize and utilize
the talents inherent in the people.
Rathenau's social theories represented a mix-
ture of conceptions of a new social order with
certain romantic notions; he believed that im-
provement in general welfare was to be achieved
by means of efficient economic organization. He
was a leading exponent of economic planning to
be carried out by the common action of the
various economic organizations. His views were
a reflection of the economic organisation de-
veloped during the war and were influenced in
large measure by von Mollendorf . At the time he
could not envisage the enormous potentialities
of modern technical advancement and therefore
considered socialism as identical with general
poverty, although he conceded that its principle
of equality had a high ethical value He held that
the distribution of well being was a matter for
social legislation. Redistribution, which would
restrict private property only to consumers'
goods, was to be carried out by taxation and
radical reform of the inheritance laws. A logical
consequence of this demand was the removal
of the entrepreneur. According to Rathenau's
later views industry was to be administered by
guilds in which all groups of producers and con-
sumers were to be represented. The aim of this
economic system was to increase responsibility
by instilling a new spirit into labor. By the
elimination of the entrepreneur and the estab-
lishment of guilds for the individual branches
of the economic system a solidarity, a feeling of
achievement and a sense of responsibility for the
general welfare could be attained which would
compensate for egotistic instincts and the de-
spair which resulted from the absence of spiritu-
ality in work.
Rathenau's social philosophy was thus es-
sentially pessimistic. What he pictured was the
same social set up without the rich: a society of
sorrowful monotony with no cultural produc-
tivity or intrinsic value. Since there would no
longer be any wealthy upper class, art would
disappear. Rathenau did not perceive that a
radical reconstruction of society would also in-
volve the transformation of the relation between
"3
creative and receptive groups, as may be ob-
served, for example, in Soviet Russia or in a
comparison between feudal and bourgeois so-
ciety.
Rathenau was a man of many contradictions.
He was attracted toward the simple, instinctive
and non-intellectual the "Prussian " Essen-
tially, however, he was a typical intellectual, sub-
jecting all his observations to his reason. He was
never at peace within himself but always at the
mercy of his desire to "be different." These
contradictions, however, were due mainly to his
sensitive nature, which reflected all the vital
tendencies of the troubled age in which he lived.
To do full justice to his rich personality would
really require the full analysis of the history of
this period.
EMIL LEDERER
Works' Gesamme He Schnften, 6 vols. (Berlin 191829);
Gesammelte Reden (Berlin 1924); Von kommenden
Dingen (Berlin 1918), tr. by E and C Paul as In Days
to Come (London 1921), Die neue Gesellschaft (Berkn
1919), tr. by A. Windham as The New Society (Lon-
don 1921).
Consult Kessler, Harry, Walther Rathenau; setn
Leben und sein Werk (Berlin 1928), tr by W. D.
Robson-Scott and L Hyde (London 1929), Schcler,
M , Heimann, E , and Baumgarten, A , Walther
Rathenau (Cologne 1922), Mohnen, C G , La soct-
ologte economiquf de Walther Rathenau (Pans 1932),
Fuchs, E , Das tvirtscfiaftspohiische System Waltlier
Rathenaus (Leisnig 1926), Re\6sz, Imre, Walther
Rathenau und sein tvirtschqftlichfs Werk (Dresden
1927)-
RATIONALISM is a comprehensive expres-
sion applied to various theoretical and practical
tendencies which aim to interpret the universe
purely in terms of thought, or which aim to
regulate individual and social life in accordance
with principles of reason and to eliminate as
far as possible or to relegate to the background
everything irrational. Rationalism has played a
fundamental role in the rise of general philoso-
phy, which, as expressed in the great metaphysi-
cal systems, represents an effort to conceive the
world as a coherent structure analyzable by
human reason. Rationalism has also exerted a
decisive influence upon the development of sci-
ence by establishing the logico-mathematical
approach to nature and by setting up the prob-
lems whereby this approach could be carried
through rigorously in all fields In individual
and social life rationalism seeks to establish uni-
versal and self-evident principles for the regu-
lation of human behavior. Rationalism here
signifies the effort to rationalize life.
Encyclopaedia of the Social Sciences
114
Rationalism always takes its starting point
from the fact that in our original intuition of
things and events reality presents itself as some-
thing irrational. What confronts us at first is the
sense intuition, the chance alternation of im-
pressions and events, the natural and instinctive
manifestation of life It is against this original
intuition that the rational approach to reality
has to assert itself. Of course it is not given to
reason to eliminate the irrational altogether. The
task of rationalism is rather to be always re-
commencing the struggle against everything
that is recalcitrant to reason. In the realm of
theory rationalism rejects "the appearances of
the sense world"; in the realm of practise it
seeks in various ways to grapple with the ele-
ments of chance and fate in individual and social
life by combating the instinctive in man and
submitting to criticism everything in social life
bearing the character of mere custom and tra-
dition and recalcitrant to generalizing, rational
reflection.
In social and historical life the power of ra-
tionalism derives from the confidence which
individuals and societies place in reason. This
confidence is an experimental confidence born
of the success or failure of human beings in their
efforts to arrive at a rational knowledge of the
universe and a rational regulation of individual
and social life. Sometimes the irrational forces
displayed in nature and life give the impression
of omnipotence and human reason becomes con-
scious of its frailty. Sometimes, on the other
hand, man is struck by the power which reason
manifests in scientific knowledge and in the
ordering of the various relations of human living,
and he becomes permeated with the feeling that
the human mind is sovereign In the course of
history the relationship of the rational to the
irrational or superrational undergoes various
transformations. The irrational which reason
has to conquer manifests itself now preponder-
antly in the world of sense, now in the forces of
chance and fate displayed in individual and
interindividual life, now in human nature itself
and now in the sequence of historical events.
Rationalism, even though it starts out from uni-
versal and immutable principles, must therefore
also change its attitudes and methods, modifying
its tactics in accordance with the various forms
which the irrational assumes.
Greek rationalism was directed above all
against the sense world. In contradistinction to
the world of changeable appearances, reason was
supposed to attain to true being by means of
immutable concepts. Reason and being became
parallel terms, for reason grasped the objective
and thinkable elements of the cosmos. In this
way metaphysics assumed the form of a rational
science, a science dealing with everything that
remains self-identical throughout all temporal
changes. Aristotle developed in his logic the
forms of thought which were to enable man to
arrive at this rational and objective knowledge
of reality. Human reason and world reason
found their unity in divine reason, which was
the origin of both. In this scheme there re-
mained outside the pale of reason only the world
of change, which included also all individual
differences. Since reason was confined to the
sphere of the typical and the recurrent self-
identical, it was regarded as incapable of extend-
ing its sway to the multitude of events that take
place in individual and social life. Human life,
especially its individual significance, could not
be deduced from rational regularities. This did
not mean that reason had no voice in human
life. For in addition to theoretical reason there
was also for Aristotle a practical reason. None
the less, Aristotle was always concerned with a
knowledge of what ought to be rather than with
an attempt to bring about a rationalization of life
itself The Socratic ethical rationalism, which is
typical of the rational attitude of the Greeks
toward life, centered in knowledge rather than
in the will.
It was only under the influence of the Roman
spirit that a synthesis of reason and will became
possible. In the Roman world view reason be-
came a force in individual and political life.
The objective and contemplative rationalism of
the Greeks now gave way to a rationalism of the
will that was oriented in practise. Reason be-
came an instrument for the control of life. Of
foremost significance in this connection was the
theory that moral and rational insights were
natural to all human beings. These insights, or
judgments, were supposed to meet with the
approval of every thinking being; they were
valid for all times and all nations. This theory
was the souice of the idea of a universal legis-
lation conceived as the basis of a political and
social world order. Popularized and passed on
by Cicero, such conceptions continued to sup-
ply until far into the eighteenth century the
basis for a practical rationalism which found its
expression in social life.
Side by side with the Greek idea of a cosmos
subject to rational conceptualization we thus
have here the view of a divine world empire
"funding system" on theund that it is im-
possible by borrowing too\* a real burden
on to posterity, although admitted that the
taxation accompanying it (sisted in breaking
up large landed estates; j in sinking funds
he saw only a device whijilarged the wealth
and power of the financierfthe expense of the
productive workers. j
More widely read thai^st of his contem-
poraries, either orthodox critical, Raven-
stone's chief contnbutiojrose from a more
realistic grasp of history.fe viewed social de-
velopment as a dynamic j)cess and expected
political economy, by mtej-etmg social change
in the past, to ofter guidai for the future. The
two chief motivating f<s underlying eco-
nomic and social develoj'ent are the growth
of populations and invents A shrewd exami-
nation of the conditions ' human fertility led
Ravenstone to regard Maus' fears as ground-
less, although his furthcitmtention that popu-
lation progressed every\i're at the same rate
went beyond the evidce he presented. An
increase of population, Jheld, increases pro-
ductivity more than pn|>rtionately in that it
makes possible further vision of labor, with
its attendant economiesjid stimulates discov-
ery. He denied the hen* theory of inventions,
regarding them as aribij cumulatively out of
society's practical need^nd as more probable
in dense than in sparse rfpulations.
tatzinger Raw Materials
Ravenstone rejected
phatically the concep-
tion of capital as an ii
jpendtnt creative ele-
ment in economic life a
a form of accumulated
regardcd it merely as
>or unjustly appropri-
ated by the ruling cla
es by virtue of their
superior legal and politi
,1 power, to this extent
anticipating the Marx
i concept of surplus
value. He referred to
ipitahstic property as
"artificial" in distinction
rom property acquired
through the expenditu
v of labor, which he
deemed "natural." Cor
emning the former as
parasitic, he upheld st
ichly the right to the
latter as providing the r .
sis ot what appears to
have been his ideal society, a community of
small peasant proprietors and handicraftsmen.
PERCY FORD
Consult. Beer, M , History of P 'tsh Socialism, 2 vols.
(London 1919-21) vol i, p - -58, ScliKinan, E. R.
A , Essays in Economics (Ne >rk 1925) p. 98-100.
RAW MATERIALS,
commonly to matertf
unwrought, state: tf
agriculture, mining ,''
term is restricted
natural crude, or
diate products of
(.try. In a broader
123
sense the term is applied also to commodities
which have undergone one or more manufac-
turing processes but are still in a relatively crude
form, being the raw materials for a more ad-
vanced process. Many foodstuffs are not typi-
cally raw materials, as the characteristic of a raw
material is that it must undergo a manufacturing
process before being used. Coal, however, is
definitely a raw material.
Raw materials may be divided into organic
(vegetable products, animal and some other
foods, beverages, spices, drugs, plant juices, oils,
fats, leather, tanning materials, lumber, woods,
fibers, dyes) and inorganic (minerals, metals). Or
they may be classified as reproducible, replace-
able, genetic materials which can be produced
over a comparatively brief period by cultivation
or breeding or through technical processes (most
vegetable products); non-reproducible but in
part recoverable (certain minerals and metals,
most products of extractive industries); and non-
reproducible and non- recoverable (abrasives,
magnesite, graphite). Some materials, such as
manganese and tungsten, are recoverable under
certain conditions; under others, as in the manu-
facture of steel, they are not recoverable. Still
another classification differentiates between ma-
terials of which stocks tend to accumulate (iron,
copper) and those used but once (coal, oil, pot-
ash, coffee).
Some raw materials are considered "stra-
tegic," "basic" or "key" resources because they
are of vital importance in the economic and
political life of nations and play an important
role in shaping commercial policies. For the
United States raw materials may be divided into
three categories. First, there are those of which
there is an adequate domestic supply and in
some cases an exportable surplus reproducible
raw materials (cotton, cottonseed oil) and non-
reproducible materials (forest products, earths,
bismuth, lead, cadmium, phosphates, metallic
magnesium, molybdenum, alumina, zinc, silver,
sulphur, salt, copper, petroleum, coal and iron
ore). The second group consists of raw materials
for which there is virtually total dependence on
outside supply reproducible raw materials
(shellac, quinine, natural camphor, copra, jute,
sisal, manila, silk, flax and rubber) and non-
reproducible raw materials (quebracho, potash,
sodium nitrate, tin ore, platinum and allied
metals, nickel ore, antimony ore, cryolite, asbes-
tos and monazite). The third comprises those
not produced in sufficient quantities to satisfy
domestic demand: reproducible raw materials
Encyclopaedia of the Social bfences
124
(citrate of lime, hides and skins, certain vege-
table oi-, e.g. coconut, olive, linseed and peanut
oil, tobacco, hemp and wool) and non-repro-
ducible raw materials (arsenic, manganese, chro-
mite, tungsten, rnagnesite, abrasives, barites,
vanadium, fluor spar, mica, quicksilver and nat-
ural graphite).
Changes take place in the character of some
raw materials, largely as a result of technical and
scientific progress, so that a commodity classed
as a raw material at one time may be considered
as a finished product at some other time and
vice versa. Natural camphor and mdigo were
formerly classed with raw materials. Their syn-
thetic substitutes are now considered as finished
products. Coal tar, formerly a finished product,
is now a raw material for numerous chemical
manufactures.
The total net value of the annual material
production of the world in recent years has been
roughly estimated to approximate $ 140 ,000,-
000,000, of which foodstuffs (not all necessarily
raw materials) constitute about $59,000,000,000;
primary products more than $83,000,000,000;
non-metallic raw materials $10,500,000,000;
fuels and other sources of power $10,000,000,-
ooo; metals $3,500,000,000. The United States'
share of the world total of all material produc-
tion amounts to 26 percent; of its own total,
foodstuffs account for 19 percent, non-metallic
raw materials 26 percent, fuel and other power
resources 40 percent, metals 42 percent, primary
products 23 percent to 24 percent. Value added
by manufacturing in American industries has
averaged 28 percent in recent years.
The raw materials industries represent a large
capital investment, which tends to grow with
increasing demand for materials. According to
an analysis by the Federal Trade Commission
in 1922, American corporations represented a
wealth of $102,000,000,000 (nearly one third the
estimated total wealth of the United States), of
which $10,100,000,000, or 9.8 percent, was
owned by corporations in raw materials indus-
tries; $33,600,000,000, or 32 9 percent, by man-
ufacturing corporations; and $27,300,000,000,
or 26.7 percent, by transportation and other
public utilities. To this must be added $61 ,454,-
000,000 for agriculture, nearly one half of its
products being used for industrial raw materials.
Fixed assets (land, buildings and equipment)
ranged from 54.5 percent in manufacturing, 68.2
percent in agriculture, 84.2 percent in mining
and quarrying, to 86.4 percent in transportation
and other public utilities.
Prior to the
special trade
levels and mutu
artisan, limited
ustrial i evolution the self-
sufficient, isolat economy produced and con-
sumed the lim I number of raw materials
required for foo< liment and shelter, mostly at
home. An exten j raw materials market, with
o nization, interrelated price
ion-acquaintance of produc-
ers and consumeflid not exist. The handicraft
ital and absence of division
of labor charact^ted the economic life of the
time.
In the eightejh century a fundamental
change in the ecoinic importance of raw mate-
rials came about^ a result of the industrial
revolution and t^ spread of capitalism. Me-
chanical energy a^ ed to large scale production
gave rise to an eiimous demand for the ever
increasing numbei f raw materials required by
the machine age. ] i>roved methods of mining,
agriculture, transpdation, financing and scien-
tific management d research made available
and facilitated the ajuisition and more efficient
exploitation of net and continuous domestic
and oversea sourcetof supply of saltpeter, cop-
per, petroleum, iroj. cotton and other leading
raw materials. Cap^ist methods of production
and distribution, inkidmg the growth of mod-
ern speculation, tq'led to produce a world
market for raw mateils and problems of inter-
national scope. The ^nificance of raw materials
was reflected in sucfohrases as "coal and iron
rule the world" and fung cotton."
The huge increastin the world demand for
industrial raw mateifls in modern times may
be illustrated by the >llowmg production data:
the total world prodction of coal and lignite
rose from approximately 207,000,000 metric
tons in 1868 to 1,25^00,000 m 1932; pig iron
from 18,500,000 metic tons in 1880 to 39,800,-
ooo long tons in I932betroleum from 5 ,799,214
barrels in 1870 to 1,311,377,000 in 1932; cotton
from 12,200,000 bales in 1891 to 24,000,000 in
1932; sugar fron[jio,ipij>,ooo short tons in 1895
to 26,821,000 ii|' 1932, In the United States
alone the total value of mineral products in-
creased from $403, i20,()oo in 1881 to $4,764,-
800,000 in 1930, the total production of lumber
from 12,755,543
886,032,000 in >r *
tons in 1810 to y (
2,097,000 balei
crude petroleu^ ^
10785,159,000 a tn \ ne Jhere has been a steady
.-o board feet in 1869 to 36,-
^ pig iron from 54,773 long
^,846 in 1930; cotton from
1 r^> to 13,002,000 in 1932;
e 113,609 barrels in 1861
and phenome^e a j con<; in the quantities of
raw materials , rea , w O f #>y the manufacturing
Raw Materials
125
industries (Table i). Mode^ait s<^le indus-
try, with its great masses fijil capital and
increasing productivity of pr requires more
and more raw materials, i I
TABLE
RAW MATERIALS AND VALUE KJ<-
TURES, UNITED SrArSyc
(In $1,000
IN MANUFAC-
-1929*
YEAR
RAW MAIKRIA
LJ \ALUb. PROD
1899
2,8oo
7,6oo
1904
3,700
10,000
1909
5,200 1 13,700
1914
6,500
l6,2OO
1919
14,500 | 39,250
1921
9,400
27,700
1923
13,200
39,050
'9^5
13,600
40,400
1927
13,450
41,000
1929
15,450
47,100
* Maxim
am figures.
United Sutcs, Bureau
IKH and Domestic C
merce, Cc
mmerce Yearbook, IQJI
(1932) vol i, V 89
The growing demand
rials is closely interrelate
ress and its economic u
of vulcanizing rubber am
cation of the internal cor
automobile had a direct
production of crude ru
from 67,000 long tons
1930. The introduction
tific methods of agriculti
increased demand for mi
the fertilizer industry In
value of fertilisers produ<
in 1860 to Si 77 ,226, 967
since the beginning of
woodpulp has been in e^
the manufacture of pap
lustnal raw mate-
the domestic consump
chemical woodpulp in
short tons in 1899 to
wide use of artificial sil
demand for such raw m
lead and various forms
current consumption o
in increased requiremei
tion of the telegraph, t rkone and radio and
the expanduig use of el
tnbuted markedly to th
h technical prog-
ion.. The process
subsequent appli-
.ion engine to the
ing ton the world
which increased
07 to 820,000 in
ensjve and scien-
sulted in a greatly
raw materials for
United States the
isejfrom $891,344
9213 Particularly
wentieth century
eater demand for
\ the United States
jrof mechanical and
fed from 1,147,000
^,000 in 1926. The
sumption of copper by the automobile industry
averages 250,000,000 pounds.
Notable progress has been made moreover in
the utilization of raw materials through tech-
nical improvements in both extraction and man-
ufacturing. Among the outstanding earlier in-
ventions of this type may be mentioned Eh
Whitney's cotton gin in 1793 and the extraction
of sugar from beets by Marggraf in 1747 and
by Achard in 1809. Justus von Liebig's dis-
covery of the importance of mineral substances
as plant food led to a systematic commercial
exploitation of mineral raw materials for the
fertilizer industry The Thomas and Bessemer
processes revolutionized the iron and steel in-
dustry, the electrolytic refining process the cop-
per industry and the Gill kiln and Frasch process
the manufacture of commercial sulphur. The
by-products coke oven and modern industrial
chemistry made possible the production of im-
portant new natural and synthetic raw materials.
More recently the Haber-Bosch process of ex-
tracting nitrate from the air and that invented
by Bergius for extracting petroleum from coal
have opened up practically unlimited new
sources of essential industrial raw materials.
The growing importance of raw materials and
the tendency to combination in general led tc
the concentration of control of raw material pro
duction m a few hands. This assumed two
forms, control by corporations interested exclu-
sively in a particular raw material and control
by manufacturing corporations as a result of
integration and the desire to assure a continuous
supply of raw materials. Other forms (in the
United States) weie control of forests and min-
eral reserves by railroads, which secured grants
of public lands from the government, and con-
trol of coal mines by railroads eager to monopo-
lize shipments. Concentrated corporate control
of available key reserves of raw materials has
Js created a growing advanced greatly during the past fifty years in
|als as cotton hnters,
(Cellulose. The large
lined foods resulted
>' tin. The introduc-
cal appliances con-
L nand for copper, of
which approximately 29 c ,000 pounds are re-
quired annually in the jjo uction of new radio
sets in the United Stats, It is estimated that
more than ioo,ooo,oooliii :s of copper wire are
in service for telephon( ^d more than 30,000
miles for submarine foks. The annual con-
all major industrial countries. In the United
States, according to the Federal Trade Com-
mission, 8 companies in 1922 owned three quar-
ters of the anthracite coal reserves; 6 companies
controlled about one third of the total developed
water power; 30 companies over a third of im-
mediate reserves of bituminous coal; 2 com-
panies (United States Steel Corporation and
Bethlehem Steel Company) well over half of the
iron ore reserves; 4 companies nearly half of
the copper reserves; and 30 companies over 12
percent of the petroleum res, ves. Concentra-
tion of control is increased x d strengthened
Encydopaedk of the Socialfences
126
through financial community of interest, through
production and price agreements and through
interlocking directorates.
Concentration is particularly intense in non-
reproducible raw materials, like minerals and
metals. The nitrate industry of Chile is con-
trolled by a compulsory cartel in which the
government participates, the Chilean Nitrate
Producers' Association. Prior to the commercial
manufacture of synthetic nitrate in 1913, the
Chilean cartel had a world monopoly in this key
raw material. Another basic raw material of the
fertilizer industry, potash, the production of
which prior to the World War was a natural
monopoly of Germany, has been controlled by
the Franco-German International Potash Cartel
since 1924. The world supply of brimstone sul-
phur is dominated almost completely by the
Sicilian sulphur syndicate and by two American
concerns, the Texas Gulf Sulphur Company and
the Freeport Sulphur Company, all three oper-
ating under a joint price and territorial agree-
ment. The production of bauxite (aluminum)
throughout the world is controlled by a combi-
nation of Swiss, German, French and American
producers, dominated by the Aluminum Com-
pany of America. Coal and iron production in
European countries is completely controlled by
local cartels, some of which are united in inter-
national cartels. The Swedish Grangesberg-
Trafik A.-B., in which the Swedish state par-
ticipates, controls the extensive high grade iron
ore deposits in Kirunavara. Of important raw
materials for drugs, the Kina Bureau in Amster-
dam has a monopoly of the cinchona (quinine)
supply source in the Dutch East Indies.
The nickel resources of Canada are in the
hands of a small number of concerns. Pulpwood
supplies are dominated by great corporations in
most countries. A score of large corporations in
the United States, England and Belgium control
the world's supply of copper, and the industry
has a world cartel. This is true of all metals. The
available petroleum resources of the world are
to a large extent controlled by the Royal Dutch
Shell concern, the Anglo-Persian Oil Company
and several American concerns, especially the
Standard Oil interests.
There are, however, certain raw materials
(wool, cotton, hides, sugar) which do not lend
themselves to this type of control but are usually
subject to cartel agreements, governing prices,
standards, credit terms and marketing practises.
Attempts to corner the supply of certain raw
materials, such as the Secre'tan copper corner of
1890 or the lr wheat corner of 1898, have
been sporadic short lived. The importance
of control anbnopoly in the raw materials
industries es hole is still largely relative.
Competition, ice, diminishing demand, sub-
stitutes, nevhcovered resources and legal
restraints havnded to check and destroy
monopolistic fts, particularly where world
cartels are conpd. Despite all controls there
are periodical Production and disastrous de-
clines in price^
Geographic 'icentration, an outstanding
feature of mosV materials industries, facili-
tates the acqu^n and control of supply. Of
the important lizer raw materials commer-
cially workabl^osits of potash are located
principally in rmany and France, natural
nitrate depositaChile and phosphate rock is
to be found ilorida and northern Africa.
Of important i used in the steel industry
manganese is lized mainly in Russia, India
and Brazil; chrum in New Caledonia and
Rhodesia; vjman in Peru and the United
States; anting rh China; nickel in Canada.
nly in the Malay Peninsula,
e ,ch East Indies; platinum in
Tin is mmec
Bolivia and tl
Russia and C
posits of the
tion of Penns
in the Conne!
The coal depc
primarily to t
districts; thos
Of the textile
mostly in the
India and
Japan; jute in
>lcia. The anthracite coal de-
n: States are located in a sec-
vaand coking coal is localized
sviand the Birmingham areas,
sitjfcentral Europe are confined
, Ruhr and Upper Silesian
issia to the Donetz basin,
iterials cotton is produced
belt of the United States,
yr latural silk in China and
'jiomd sisal in Mexico and the
Philippines. The l tk of the world's rubber
supply comes fron tritish Malaya, the Dutch
East Indies and Bri a . The production of coffee
is concentrated in ^tral and South American
countries, that of c*a in the Philippines and
the Far East. r
Geographic con( ^ration of raw materials
has a vital bearing.'! the problem of supply,
transportation and l( t location of industries.
With the exception.^ the United States most
industrialized natioiHmust depend on outside
sources of supply f<
requirements. In
industrial raw mat
leum, hides and ferti
distance oversea and
so that transportatioi
factor in the cost of pi
of their raw material
of such important
cotton, wool, petro-
this necessitates long
ital shipments,
jes become a decisive
HI of manufactured
aw Materials
127
gocds as well as in the location of mdfacturing
industries. Some raw materials, hjiron and
steel, whose transportation costs anmportant
primarily because of the relative df oportion
of bulk, weight and value, tend tovll concen-
tration of manufacturing. This accqr s in large
measure for the localization of the ij and steel
industry of the world in the Urtd States,
England and central Europe. Othaaw mate-
rials, like cotton, silk, tobacco ai cellulose,
with relatively low transportation Its, gener-
ally favor manufacturing dispersioi
The marketing of raw materials teents cer-
tain peculiar characteristics. The iat bulk of
raw material arrives at its market vjiout much
of an intervening manufacturing fcess. It is
relatively difficult to apply standarjof grading
to some raw materials, such as wo but grades
have been established for the prmc 1
ities. In general the market dei
essential raw materials is estabh
advertising is of relatively min
indeed advertising is clearly waste
of products difficult to identify. C
ommod-
id for the
d, so that
nportance;
m the case
rol and risk
are important factors m marketij raw mate-
rials Wide fluctuations in output al prices, due
to labor, crop and climatic condins, form a
frequent disturbing factor in the c/L oil, wheat,
cotton, sugar and tobacco mduslf j>. Overpro-
duction and disastrous price dc^es are fre-
quent. Efforts at stabilization h^~bcen made
at different times, chiefly throj joint pro-
ducers' agreements to curtail pro^ .ion. On the
largest scale this has been atto ted by the
copper and sugar producers of 1 j world since
1931 (Chadbourne plan) and by , wheat pro-
ducing countries under a joir wreement to
restrict acreage, signed at Lor II , in August,
1933- m l'\
The financing and speculatior rolved in the
carrying over of accumulated st4 s* of raw ma-
terials have given rise to dif? " It economic
problems m connection with a ^mber of na-
tional industries, such as coffee )r Brazil, sisal
in Mexico, sugar in Cuba, whe^ t ji the United
States and rubber in Malaysia-nd the East
Indies. In recent years competjUe conditions
obtaining in the United States il/he marketing
of such raw materials as lumber^' al and petro-
leum, where numerous produce^ompete in a
glutted market, have resulted in w inous prices,
dumping and various unfair tjie practises.
Under the Sherman Anti-Trust , t t and similar
laws various stabilization plans VT& held illegal.
A new policy inaugurated ond^the National
Industrial Recovery Act, 1933, is designed to
regulate production and distribution, including
raw materials, through trade associations and
groups functioning in accordance with codes of
fair competition.
The principal spot markets for raw materials
are situated at the financial centers which were
originally most closely related to the points of
assembling and primary distribution. London
was long the predominant market for most of
the raw materials of international trade. It still
is an important market for wool, cotton, metals,
rubber and rice New York has become a leading
market for cotton, sugar, coffee and metals;
Santos, Hamburg, New Orleans and Le Havre
for coffee; Liverpool for gram and cotton; Chi-
cago for grain. Organized exchanges for hedging
and trading in futures have been established for
such raw materials as gram, cotton, sugar,
coffee, cacao, rubber, copper, lead and other
metals.
In the course of modern industrial develop-
ment increasing pressure has been exercised on
the available sources of raw materials and on the
search for new sources of supplies. This tend-
ency may be ascribed m part to the fact that
large scale industry, in the face of depletion of
available stocks, needed an assured, unified and
increasing supply of raw materials. Other factors
include military, naval and merchant marine
requirements of oil, coal and steel; the search
for foreign investments; the pressure of popu-
lation on food supply; and the endeavor of states
to become economically self-sufficient. British
efforts to secure oil concessions m Mesopotamia
and to pipe the oil to the Palestinian coast and
Japan's acquisition of raw materials m Man-
churia are recent examples The general result
has been that the major industrial countries have
become largely importers of raw materials and
exporters of manufactured goods. Before the
World War this \vas true of the United States,
England, Germany and France. More recently
a similar trend has been apparent in the foreign
trade of Czechoslovakia and Japan. Other coun-
tries, principally Russia, the Balkan and the
Latin American states, have been primarily ex-
porters of raw materials and importers of manu-
factured goods.
The tendency to import raw materials and to
export manufactured or partly manufactured
goods developed in the United Kingdom long
before it appeared elsewhere. It became most
pronounced during the second half of the nine-
teenth century, when England was the workshop
128
Encyclopaedk of the Sotial Sciences
of the world. In 1913 the value of raw materials
imported (chiefly cotton, wool, wood, oilseeds,
oil and rubber) amounted to 269,940,000, or
3<; i percent of the value of total British imports;
by 1932 it had fallen to 164,462,000. The value
of raw materials exported from England (ap-
proximately half of which consisted of coal) for
the same years amounted to 66,173,000 and to
43,626,000 respectively. In England's export
trade manufactured goods dominated. In 1913
the value of exported manufactures was 413,-
820,000, or 78 8 percent of the value of its total
exports; and in 1932 275,602,000, or 75 per-
cent. England's reexport trade in raw materials
is an important factor in its oversea trade; it
amounted in 1913 to 63,699,000, or 58.3 per-
cent of the value of its total reexports; and in
1928 to 66,494,000, or 55 3 percent.
Germany since the founding of the empire
has rapidly become an importer of raw materials
and an exporter of manufactured goods. The
value of raw materials imported rose from
1,675,600,000 marks in 1872 to 6,242,300,000
marks in 1913 and to 7,243,700,000 marks in
1928; m 1931 it dropped to 3, 477, 900 ,000 marks,
or 51 7 percent of the total In 1911 raw mate-
rials imported constituted 527 percent of total
German imports. At that time the German tex-
tile industry procured nine tenths of its total
supply of raw materials from abroad. While the
value of manufactured goods exported from
Germany in the period 1874-77 amounted to
about 37 percent of the value of its total exports,
m 1907-10 it had mounted to 65 percent.
In France the annual average value of raw
matenals imported from 1909 to 1913 was 4,-
548,000,000 francs In 1923 it amounted to .
20,959,000,000 francs, in 1926 to 40,435,000,000
francs, or 67.8 percent of the value of total
imports, and in 1932 to 13,231,919,000 francs,
or 44.36 percent of total imports. On account
of the general shrinkage in value the following
figures giving the imports of raw materials in
volume furnish a better picture of the steady
increase in French imports of raw materials:
from 1909 to 1913 they averaged 32,845,000
metric tons, and m 1931 they had risen to 46,-
930,000 metric tons
In the case of England and Germany the eco-
nomic crisis which set in after the World War
has been aggravated by dependence upon im-
ports of raw materials and exports of manufac-
tured goods, partly because of increasing world
industrialization and the trend toward economic
national self-sufficiency. This has not been the
case in Jrance, where industrialization is less
advancecjmd agriculture is more active.
In the'CJnited States the progress of indus-
trializatifa has been accompanied by a steady
increase i the imports of raw materials and a
steady r'
the aver/ 1
(excludir c
percent
tive decrease in exports. In 1866-70
r yearly value of raw material imports
foodstuffs) was $48,000,000, or n 7
all imports; the value in 1929 was
,000, or 35.4 percent of all imports.
In 1866^ ) the average annual value of raw
material] x>rts was $178,000,000, or 57.6 per-
cent of alj e ports; the value in 1929 was $i ,142.-
000,000,^ only 22 2 percent of all exports
(Table i;^ ,t the same time the value of exports
of finish/ * manufactures rose from 14.9 percent
of all e? s ts to 49.1 percent, while imports
declined TI 41 .3 percent to 22 6 percent. Ex-
ports bej a * to outstrip imports of raw materials
in 1915, . ar exported manufactured goods rose
above im ie ts of this type from 1898.
il TABLE II
YEARLY iMt RTS AND EXPORTS OF RAW MATERIALS,
y NiTto STATES, 1866-1929*
d
IMPORTX
EXPORTS
PERIOD
PERCENT-
TFRCENT-
AGE OF
AGE OF
>o,ooo)
1 OTA I,
IMPORTS
ooo.oX)
EXPORTS
1866-70
48
ii 7
I 7 8
576
1886-90
162
22.7
277
38l
I89I-95
185
23.6
295
337
1901-05
325
334
43 *
30 3
1911-15
S98
349
717
307
1915-20
348
40 i
1169
182
1921-25
290
374
1187
275
1926
792
405
1261
268
1927
)OI
383
"93
25 i
1928
(.67
35 9
1293
25-7
1929
i59
354
1142
22 2
* Exclusive of ft stuffs
Source Umtec tates. Bureau of Foreign and Domestic Com-
A continu< is flow of raw material supplies is
a necessary j erequisite to large scale industry,
mass produc on, rationalized plant equipment
and efficient larketing methods. Irregular sup-
plies of raw r terials are likely to render unpro-
ductive capit' investments in industries manu-
facturing or nsuming semimanufactured and
finished gooc The superior financial and or-
ganizational ivantages of large capitalist pro-
ducing and nanufacturing concerns and of
organized gro ips like cartels, in the acquisition
of their own i iw material supplies, have tended
to decrease tk importance of independent and
Raw Materials
129
small unit entrepreneurs in raw materials in-
dustries.
This need of industrial nations for raw mate-
rials and their increasing dependence upon for-
eign sources of supply have made complete
national self-sufficiency m this respect impos-
sible. The distribution of many essential indus-
trial raw materials is so uneven the world over
and their occurrence is so highly localized or
unevenly distributed with respect to national
industrial requirements that reliance upon im-
ports of raw materials is universal. Even those
countries with the richest and most varied nat-
ural resources are dependent for certain essential
raw materials upon outside supplies. The United
States, for example, is obliged to import large
quantities of rubber, nickel, tin, platinum, anti-
mony, chromite, cobalt, tungsten, quicksilver,
manganese, vanadium, magnesite, asbestos, pot-
ash, nitrate, iodine, quinine, jute, hemp, sisal,
rattan, silk, wool, hides, coffee, tea, cacao,
spices, chicle, bristles and woodpulp. The
United Kingdom is wholly dependent upon
oversea supplies of cotton, petroleum, alumi-
num, lead, arsenic, copper, zinc, fertilizers, rub-
ber, woodpulp, tobacco, tea, spices, drugs and
copra. Germany relies largely upon foreign
sources for its supplies of cotton, copper, nickel,
petroleum, manganese, rubber, coffee and cacao.
Japan imports iron ore, wood, petroleum, copper
and cotton Italy, Denmark, Sweden and Swit-
zerland likewise lean heavily upon outside
sources for various essential raw materials Eco-
nomic dependency of this type is especially bur-
densome in the case of countries without colonial
possessions, like Germany, Czechoslovakia and
Switzerland. International interdependence may
be illustrated also by the fact that Germany and
France control most of the world supply of
potash, while Canada has a virtual monopoly of
nickel and asbestos, Mexico of chicle, Brazil and
the Latin American countries of coffee, Argen-
tina of quebracho.
National insufficiency of raw materials may
seriously handicap domestic industrial develop-
ment and is apt to lead to loss of trade, unem-
ployment and a lower standard of living. In
Great Britain efforts to overcome some of its
economic consequences have resulted in the
establishment of a preferential policy within the
empire since the Ottawa Conference of 1932.
Elsewhere there has been a tendency to inten-
sified rationalization of industry: avoidance of
industrial waste, recovery of scrap iron, utiliza-
tion of lumber, greater technological efficiency,
establishment of foreign branch plants, inter-
national cartel agreements covering raw material
supplies, scientific research to provide substi-
tutes, development of new sources of domestic
supply and economic penetration of foreign
countries.
The total value of the raw materials imports
and exports of the world in 1930 amounted to
approximately $19,500,000,000 (Table in),
which was 34.1 percent of the total world trade.
Europe is mainly an importer of raw materials.
TABLE III
WORLD IMPORTS AND EXPORTS OF RAW MATERIALS,
1930
IMPORTS
PtRCFNT-
AGE OF
EXPORTS
(In $i,-
PERCENT-
AGE OF
000,000)
IMPORTS
000,000)
EXPORTS
Europe
6650
392
3140
226
Africa
i go
142
480
55 7
Asia
1150
298
1830
467
America
2070
35 5
2670
40 o
Australia
120
195
260
43 3
Source Adapted from Germany, Statisttsches Kcichsamt,
btattslisihfs Jahrbuch fur das Deutsche Retch, vol h (Berlin
1032) I 101*.
Since about the turn of the present century,
but especially following the World War, inter-
ferences with the free movement of exports and
imports of raw materials have played an impor-
tant role in international trade. Export duties,
which more generally than import taxes are
associated with raw materials, and constitution-
ally prohibited in the United States, are used
today mainly by countries which are not highly
developed industrially. They are applied for
purposes of revenue, in order to conserve domes-
tic resources and to protect domestic industry.
Among the more important are Chile's export
tax on nitrate (1879), the Brazilian export tax on
coffee (1905), an export tax on tin ore by the
Federated Malay States (1903) and the British
tax on rubber exports (rubber restriction act of
1922).
In the tariff laws of modern industrialized
countries import duties on raw matenals re-
quired by domestic industry are generally of
minor importance. On competitive raw mate-
rials they may be restrictive. The policy of in-
dustrialized countries on the whole is to levy
tariffs on manufactured goods but not on raw
materials. Embargoes and licensing systems
were applied freely during the World War for
the purpose of preventing raw matenals from
reaching enemy countries. In the United States
they were administered by the War Trade
Encyclopaedia of the Social Sciences
130
Board. Canada since 1900 restricts the exports
of pulpwood from crownlands by means of an
embargo and license system. Japan prohibits
exports of crude camphor for refining purposes.
Discriminatory export duties in favor of the
mother country have long been in common use
in colonial countries. Portugal makes wide use
of this policy. Other instances are the export
duties on tin ore in the Federated Malay States
and Nigeria and on untanned hides and skins
in India in favor of British industry. More
recently export and import quotas and restric-
tions through foreign exchange control have
interfered seriously with the movement of raw
materials in international trade.
These restrictive measures on the free move-
ment of raw materials assume a more menacing
aspect as an expression of commercial rivalry in
the direct intervention of governments. Control
of exports of raw materials by government
monopolies or agencies under government con-
trol or regulation has increasingly been estab-
lished in various countries. Their object has
been to obtain public revenue through export
taxes, to maintain or augment the profits of the
producers of the raw materials and to foster and
extend the domestic manufacturing industry.
The outstanding examples of such monopoly are
the Chilean control of sodium nitrate, the Japa-
nese camphor monopoly, the Franco- German
potash combine, the Brazilian agency for valori-
zation and control of coffee and the British
export restrictions on rubber Acting through
the Association of Producers of Chilean Nitrate,
a corporation approved and participated in by
the Chilean government, a heavy export tax has
been imposed since 1897 on nitrate shipments,
ranging generally from a third to a half of the
export value; the tax has supplied a large part
of the state's revenue. The association, member-
ship in which is compulsory, fixes prices and
otherwise controls output. While the industry
formerly gave Chile a world monopoly of the
nitrogen market, keen competition has devel-
oped in recent years with the European produc-
ers of synthetic nitrate. The association from
1920 to 1921 set prices much above the level
which would probably have prevailed under
competition and in some cases made profits
amounting to 50 percent of the capital. The Jap-
anese camphor control is a state monopoly,
which controls the collection and sale of raw
camphor; sales prices are fixed by the govern-
ment. The competition of synthetic camphor has
limited the power of the monopoly, which pre-
viously could shape its price policy so as to
obtain large profits. The Franco- German potash
syndicate, composed of the German producers
who are organized in a compulsory syndicate
and the French producers dominated by the
French government, controls about 95 percent
of the world output of oxide of potash. The
average rate of earning in 1928 amounted to
from 12 to 22 percent of the total investment.
The Brazilian coffee control grew out of an
effort to stabilize that country's chief export
industry. In 1905 a policy of restricting produc-
tion was initiated and a valorization scheme
established. For several years a fairly high level
of prices was maintained, but in 1929 a serious
crisis developed in the market, resulting in de-
moralization of prices.
The British restriction of colonial rubber ex-
ports (Stevenson plan), established November i,
1922, contemplated the raising of prices through
limitation of production. Technically only the
exportation of rubber was restricted by means of
a sliding export tax. The increase of the world
output of rubber was temporarily checked and
prices rose from an average of 27 cents per
pound to as high as 95 cents, but the scheme had
to be abandoned in 1928. It resulted in large
profits for rubber producers mainly at the ex-
pense of American consumers In the cases of
Brazilian coffee and British rubber control spec-
ulators took advantage of market fluctuations.
Both schemes aroused much opposition and ill
feeling abroad and were discontinued largely as
a result of failure to control and adjust market
forces.
During the present century the struggle for
raw materials has assumed international pro-
portions, and the number of claims on the
world's supply of raw materials has increased
greatly. Competition has been intensified by the
recent rapid industrialization of countries like
Japan, Italy, France, the Soviet Union, Czecho-
slovakia and Canada. This post-war pace of
industrialization, aiming at economic national
self-sufficiency, has in some cases been sys-
tematically promoted by state subsidies and sim-
ilar aids.
The growing world wide demand for raw
materials is reflected also in the tendency of
large manufacturing corporations and large pro-
ducers of raw materials to acquire control of
sources of supply in foreign countries through
ownership or concessions, supplementing their
control of domestic sources. For example, the
Anaconda Copper Mining Company has ac-
Raw Materials
13*
quired valuable zinc and other ore deposits in
Upper Silesia and Chile, the Guggenheim inter-
ests own extensive nitrate deposits in Chile, the
Bethlehem Steel Corporation owns iron ore re-
serves in Chile, the Aluminum Company of
America controls the world's major sources of
bauxite, English textile manufacturers have ac-
quired a large acreage of cotton in the United
States, American manufacturers of chewing gum
control chicle resources in Guatemala and Brit-
ish Honduras. The Bethlehem Steel Company
has reserves of iron ore in Cuba and Chile; the
United States Steel Corporation owns foreign
sources of manganese. The International Har-
vester Company obtains its supplies of sisal
directly from its own foreign sources of produc-
tion. The Firestone Tire Company acquired and
developed large rubber holdings in Liberia. Sev-
eral large newspaper publishers in the United
States own pulp and paper mills in Canada. This
tendency is general among monopolistic combi-
nations in all the highly industrialized countries.
The infiltration of foreign capital into raw
material countries frequently results in political
disturbances and government intervention. The
Mexican constitution of 1917, amplified by sub-
sequent government decrees, reserves subsoil
rights to the state. In 1920 the United States
government protested against certain petroleum
provisions inserted into the San Remo agree-
ment by Great Britain and France. Inability of
imperialist nations to assure national self-suffi-
ciency in raw materials through colonial imports
has still further complicated the modern struggle
for raw materials, as is illustrated by recent
events in Japan and the Far East.
At the present time private corporate combi-
nations, the international cartels, control the
supply of some of the world's most essential
raw materials. The copper export cartel, in
which are affiliated all of the leading copper
producing interests of the world, controls about
95 percent of the world's output of copper. An
international cartel centering around the British
firm of Lever Brothers, Ltd., manufacturers of
soaps and margarine, controls about 80 percent
of the production of copra and whale oil. The
bismuth cartel, combining British, German,
French, Italian and Dutch producers, in recent
years controlled about 90 percent of world out-
put and the international zinc cartel about 97
percent. Through agreements to curtail and
regulate production a measurable degree of sta-
bilization has been achieved, although internal
dissension over allotment of output and disincli-
nation to cooperate on the part of low cost and
high cost plants have resulted in making agree-
ments of this type relatively short lived. In order
to counteract such producers' combines coop-
erative buying organizations have been formed,
especially by the cooperative wholesale societies
of England, Germany and the Scandinavian
countries; but they are not very successful be-
cause of the enormous economic and financial
power of monopolist combinations.
The increasing aggravation of the problems
involved in the international distribution and
supply of raw materials became a matter of
universal importance because of the effect of
the overproduction of raw materials on the world
depression. The enormous surplus stocks which
accumulated in the post-war period and the
failure to stabilize supply and demand are re-
flected in the chaotic conditions prevailing in the
raw materials industries and markets. As a result
the wartime controls and their abandonment
have acquired especial significance, and renewed
attention has been devoted to economic plan-
ning. The measures initiated under the United
States National Industrial Recovery Act for the
purpose of controlling and regulating produc-
tion and distribution of basic industrial raw
materials and agricultural staples are paralleled
on an international scale by the recent agreement
among the wheat producing countries of the
world to reduce the world acreage of wheat, and
by a growing number of international private
agreements among producers of raw materials
to control output. The probability of an increase
in synthetic products and substitutes in the
future gives added impetus to efforts at sys-
tematic control of the raw materials industries.
Overtures with a view to international coopera-
tive control have been made in 1909 by Presi-
dent Theodore Roosevelt, more recently by the
League of Nations but they have been nullified
by national self-interest and imperialist rivalry.
But the problem must inevitably be met; it is
intimately bound up with the future of the
world.
WILLIAM F. NOTZ
See NATURAL RESOURCES; PLANTATION WARES, LOCA-
TION OF INDUSIRY, INTERNATIONAL TRADE, COM-
MERCE, COLONIAL ECONOMIC POLICY; MERCANTILISM;
COLONIES, IMPERIALISM, BACKWARD COUNTRIES, CON-
CESSIONS; FOREIGN INVESTMENT; SELF-SUFFICIENCY,
ECONOMIC, OVERPRODUCTION; PRICES; VALORIZATION;
EXPORT DUTIES; CARTEL.
Consult' Zimmermann, Erich W., World Resources
and Industries (New York 1933); Killough, H. B. and
L. W., Raw Materials of Industrialism (New York
Encyclopaedia of the Social Sciences
132
1929); Voakull, W. H., Minerals in Modern Industry
(New York 1930); Matthews, F. W , Commercial
Commodities (London 1921), Beckerath, H , Der mo-
derne Industriahsmus, Grundrisse zum Studium der
Nationalbkonomie, vol. xi, pt i (Jena 1930), tr. by
R. Newcomb and F. Krebs (New York 1933), Bogart,
E L , and Landon, C. E , Modern Industry (New York
1927), Political and Commercial Geography, ed. by
J E Spurr (New York 1920); Marx, Karl, Das Kapi-
tal, 3 vols. (vol. i 4th ed., Hamburg 1885-94), tr. by
S. Moore, E Avelmg, and E. Untermann, 4 vols.
(London 1887 and Chicago 1907-09); Sombart, Wer-
ner, Der moderne Kapitahsmui, 3 vols. (3rd ed
Munich 1928), Wagner, Adolf, Agrar- und Inditstrie-
staat (Jena 1901), Hotelling, H , "The Economics of
Exhaustible Resources" in Journal of Political Econ-
omy, vol xxxix (1931) 137-75; Harms, Bernhard,
Volkswirtsciiaft und Weltivirtschafty Probleme der
Weltwirtschaft, no. 6 (Jena 1912), Pratt, E E,
International Trade in Staple Commodities (New York
1928), Culbertson, W. S , "Raw Materials and Food-
stuffs in the Commercial Policies of Nations" in
American Academy of Political and Social Science,
Annals, vol. cxn (1924) 1-145, dn d International Eco-
nomic Policies (New York 1925), Viner, J , "National
Monopolies of Raw Materials" in Foreign Affairs,
vol iv (1925-26) 585-600, Donaldson, John, Inter-
national Economic Relations (New York 1928), Great
Britain, Parliament, Royal Commission on National
Resources, Memorandum and Tables Relating to Food
and Raw Material Requirements, Cd. 8123 (1915),
International Chamber of Commerce, Trade Barriers
Committee, Report, Brochure no. 44 (Paris 1925), and
Final Report of the Trade Barriers Committee, League
of Nations, Publications, 1926 a 62 (Gene\a 1927),
League of Nations, Provisional Economic and Finan-
cial Committee, Report on Certain Aspects of the Raw
Materials Problem, Publications, 1922.11 4, 2 vols.
(Geneva 1921-22), United States, Bureau of Foreign
and Domestic Commerce, "Foreign Combinations to
Control Prices of Raw Materials," Trade Information
Bulletin, no. 385 (1926), United States, Congress,
House of Representatives, Committee on Interstate
and Foreign Commerce, 6gth Cong., ist sess , Hear-
ings . . . on House Report 7.0. 5y Crude Rubber,
Coffee, . . . (1926), and Preliminary Report on Crude
Rubber, Coffee, House Report, no. 555 (1926), Leith,
C. K , World Minerals and World Politics (New York
1931), Wallace, B. B , and Edrrunster, L R , Inter-
national Control of Raw Materials (Washington 1930),
Anderson, C. P , "International Control and Distri-
bution of Raw Matericils" in American Journal of
International Law, vol xix (1925) 739-42, Bachfeld,
H , and Cahnmann, E , "Die Entwicklung der Welt-
vorrate an Rohstoffen in den letzten Jahren" m Wirt-
schaftskurve, vol. xi (1932) 130-35; Hermberg, Paul,
Der Kampf um den Weltmarkt (Jena 1920); Denny,
L , America Conquers Britain (New York 1930);
Moon, Parker T , Imperialism and World Politics
(New York 1926).
RAWLINSON, SIR HENRY CRESWICKE
(1810-95), English diplomat and archaeologist.
Rawlinson was distinguished as an army officer
and diplomat in the Middle East and as the
principal decipherer of Persian and Babylonian
cuneiform. In 1827 he became connected with
the East India service in a military capacity, for
which he was fitted both by his social back-
ground and by his education. Possessed of an
uncommonly active mind, he made the best
possible use of his years in India, Persia,
Afghanistan and Iraq, devoting himself equally
to the geographical exploration of the country,
to the study of its antiquities and to his military
and political duties. During five years in Persia,
occupied in training the native Persian army, he
became interested in the cuneiform inscriptions
found in that country. He deciphered Persian
cuneiform independently of Grotefend, of
whose work he had no previous knowledge, and
copied the great trilingual inscription of Darius
at Behistun After deciphering the Persian part
he used the latter as a key to the Babylonian
script, which was far more difficult to de-
cipher since the cuneiform characters repre-
sented ideograms and not alphabetic signs. His
memoirs on the two versions (the third, in the
Susan language, he left for others) appeared in
1847 and 1850 and established knowledge of
these important but completely forgotten an-
cient tongues, the clue to the reconstruction of
several thousand years of ancient history, on a
solid basis ("The Persian Cuneiform Inscrip-
tions at Behistun" and "On the Inscriptions of
Assyria and Babylonia" in Royal Asiatic Society,
Journal, vols.x-xi, 1847-49, and vol. xu, 1850, p.
401-83). As a result of his later work m these
fields he published his great edition of the
Cuneiform Inscriptions of Western Asia in five
folio volumes (London 1861-84). Rawlmson's
brilliant mind, at its best in decipherment,
lacked the patience and the scholarly training to
continue with the painstaking linguistic analysis
required in order that the study of cuneiform
might progress beyond his beginnings. His
geographical work, scattered through many
volumes of learned journals, was also of very
great value. In political and diplomatic life, to
which he devoted most of his later years, he won
many laurels; he held a prominent place in the
India council and in other administrative de-
partments. His views on the struggle between
England and Russia in the Near and Middle
East are presented in England and Russia in the
East (London 1875).
W. F. ALBRIGHT
Consult Rawlmson, George, A Memoir of Major-
General Sir Henry Creswicke Rawlinson (London
1898); Cust, R. N., in Royal Asiatic Society, Journal,
vol. xlvu (1895) 681-90; Goldsmid, F. J., in Geo-
graphical Journal, vol. v (1895) 490-97.
Raymond De Pennafort Real Estate
church, which proclaimed it as of divine right,
the conquest of liberty was predicated upon the
destruction of Catholicism and of all other doc-
trines which admit a supernatural order. The
irreligious and anticlerical spirit of the Histoire
des Indes had a direct influence in inspiring the
sectarian policy of the French Revolution, which
Raynal, incidentally, was one of the first to de-
nounce in a celebrated Adresse written to the
Assembly on May 31, 1791 (English translation,
London 1791) In this manifesto he showed him-
self quite disconcerted over the fact that the
sovereign people was revealing itself in the name
of the great liberal principles an accomplished
tyrant, terrorizing its own members through the
organ of its representatives.
ANATOLE FEUGERE
Consult Raynal, G T F , "Nouvelles htt6raires" in
Grimm, F. M von, Diderot, Dems, Raynal, G T F ,
and Meister, J H , Correipondam e Ittti'raire, philo-
sophtque et critique, ed by Maurice Tourneux, 16
vols (Pans 1877-82) vol i, p 65-502, vol n, p
1-225, Lunet, B , Biographic de I' abbe Raynal (Rodez
1866), Salone, Emile, Guillaume Raynal, fmtonen du
Canada (Fans 1906), FeuRere, Anatole, Unprtcurseur
de la Revolution I' abbe Ray nal (Angouleme 1922), and
Bibhni>raphie tntique de I' abbe Raynal (Angoule'me
1 92 2], Morley, John, Didciot and ttie Encyclopaedists,
zvtls (new ed London 1886) vol n, ch xv.
RAYON. See TEXTILE INDUSTRY; SILK IN-
REAL ESTA1V, if defined as land and the im-
provements upon it, constitutes nearly half the
entire wealth of the United States The term is
ordinarily restricted, however, to urban land and
its improvements, and the major portion of the
following discussion will center about urban
land development and transactions Real estate
as a business comprises the activity of those
persons who engage directly or indirectly in the
development, merchandising or management of
this commodity. Predominantly a personal serv-
ice business, it affords a field of activity for an
ever shifting group of men and women whose
income in the United States alone certainly ex-
ceeds several billions of dollars annually. Ac-
cording to the 1930 census over 240,000 persons
in the United States earned their livelihoods in
transactions in real estate.
The real estate business became a reality only
when property rights in land and its improve-
ments became clearly defined and subject to in-
heritance, sale, lease and other forms of transfer.
In so far as the real estate business has any
primitive origins, they are connected with the
transfer of title. Not only were all early forms of
transfer of title cumbersome, but in many
periods transfers other than by conquest were
virtually impossible. While transfer of real estate
still remains complicated, alienation (the right
to transfer) has been greatly facilitated. Primo-
geniture and entail have lost their importance,
and the principle of free alienation is so dis-
tinctly a part of the modern property system
that contracts or laws in its restraint are con-
sistently condemned as contrary to the public
interest. With increasing ease of transfer and
with greater variety in the uses of land there de-
veloped an organized market for real estate; and
as the number, character and value of the units
became more varied, an ever larger number of
middlemen began to find employment in the
real estate business.
While the real estate business is essentially a
modern activity, its Greek and Roman ante-
cedents are not \\ithout interest In Greece the
city was almost the exclusive property owner,
but private agencies were established to manage
properties, collect rents, plan and erect buildings
and carry out similar tasks. The rent collector,
however, performed a function different from
that of the present real estate operator, whose
major role is to convince prospective purchasers
that real estate values are about to rise or that
real estate is a desirable or useful investment.
The Roman property system probably repre-
sented the first opportunity for real estate busi-
ness activities at all similar to those of modern
times Private property and individual initiative
were part of the Roman philosophy. Invest-
ments in lands and buildings were held m high
regard. A rather complicated legal system with
respect to land titles required the services of
men with legal training for the transfer of land,
and all these factors combined to initiate a sys-
tem of real estate sales promotion.
Further development in this direction came
only with the decline of the feudal system and
the profound changes in economic life generally
and m the uses of land m particular resulting
from the industrial revolution. Urban living
tended to sever people's attachment to the land.
As money incomes increased, real estate in the
rapidly growing cities was found to be a logical
place for the investment of surplus funds. A
prosperous man might own several buildings,
but he held them primarily as investments and
had little time co devote to finding tenants, col-
lecting rents, financing and repair. As sales and
trades became more frequent, people from all
136
Encyclopaedia of the Social Sciences
walks of life found opportunity to engage in such
work. Legal training was necessary for those
responsible for the technicalities of transfer, hut
with this exception no qualifications were ex-
pected or required of operators in this field.
However, in England the barristers and in other
countries the notaries were the prominent fig-
ures in real estate transactions. The problems of
describing and measuring the land soon became
associated with its transfer, and the surveyor
also became active in this connection. In fact
today many participants in English real estate
transactions are spoken of as surveyors, and the
oldest leading professional society in the busi-
ness is known as the Chartered Surveyors' In-
stitution.
The colonization of North America created
opportunities for frequent land sales and vigor-
ous settlement activities. While the initial allot-
ments of territory were not the result of sales or
promotional efforts, land sales and speculation
grew more and more important as the country
developed. The settling and selling of land in the
United States were stimulated by growth of
population and by European demands for food-
stuffs and raw materials and were further en-
couraged by constantly rising land values. The
latter created a real estate market activity
characterized by frequent speculative excesses.
The depression of 1837 was essentially a reac-
tion from hectic land speculation in which real
estate boomers in top hats and frock coats had
sold land of all descriptions, completely bogging
an immature and inadequate banking system
with real estate paper. All of the elements neces-
sary for a vigorous real estate business were
early present, especially in the northern and
middle western sections of the country. Hold-
ings were comparatively small, and ownership
by the user was the rule. In the south, where the
plantation system prevailed, opportunities for
real estate activity were restricted to a few
cities. The "real estate man" in early American
history was usually a northerner. It should be
remembered, particularly in connection with
homestead laws and other governmental land
policies, that "go west" movements, while a part
of national policy, were to a substantial extent
the result of private enterprise, of land agents
and their organized propaganda about the
golden opportunities of the west. Individual
states and later the railroads joined in land
booming, in their efforts to dispose of their
large subsidies from the several government
agencies. As a result the frontier moved quickly
across the continent, accompanied by almost
successive waves of rising land values and real
estate activity.
The modern real estate business in the United
States is carried on under a variety of forms of
business organization. On the one hand, thou-
sands of individuals conduct such business with-
out office organization or capital. At the other
extreme are individuals and organizations with
elaborate business quarters and large sales and
clerical forces, often including several hundred
persons. As in other enterprises there has been a
trend toward specialization of functions, al-
though the single handed broker or the small
partnership has not hesitated to carry on any
phase of real estate activity in which ingenuity
or effort could make a commission or profit. The
nature of the business is best indicated by an
analysis of the different types of activity it in-
volves, but it must be remembered that while
scattered individuals or firms confine themselves
exclusively to one type of activity, it is more
common for individuals and organizations to
perform several functions.
Earlier activities were concerned almost ex-
clusively with brokerage and land development.
And at the present time most persons in the real
estate business are brokers or brokers' em-
ployees. The primary concept behind such ac-
tivities is that of agency for a fee or commission.
Transactions ranging from the sale of valuable
business properties to the sale of homes and
vacant sites are included under the category of
general brokers' business. Indeed the varieties
of brokerage activity almost defy classification.
Even here a degree of specialization exists:
certain brokers give their principal attention to
long term leases; some to industrial property
where peculiar problems of building construc-
tion or railroad facilities are involved; others to a
limited downtown central business district; and
still others to small residences, apartment prop-
erties, and even location and leasing of chain
store units. Brokerage is the predominant ac-
tivity and the only so-called specialized function
in which almost every person engaged in the
real estate business pretends to participate.
There has been much discussion as to the extent
to which dealings in the real estate market have
been augmented and stabilized and a beneficial
transfer of property has been developed as the
result of brokers' activities. While undoubtedly
substantial services have been rendered, there is
no question but that the charges per unit of
transaction are very considerable. An odd prac-
Real Estate
137
tise prevails in the United States, where it is the
seller who pays the commission and theoretically
is represented by the broker. In fact, however,
the broker is essentially a salesman, a go-
between without special interest m either party,
seeking only to arrange a sale.
Of more recent importance as a type of real
estate activity is property management. Steel
construction and the elevator have encouraged
concentration of residential as well as business
accommodations within a small area. The need
for management of office buildings, apartment
houses, hotels and various types of rented busi-
ness property has resulted in the development of
specialists qualified to rent and manage this kind
of real estate. For such specialization technical
knowledge and ability are more important than
the sales capacities so fundamental in brokerage.
As a result the training and capacities of persons
engaged in property management are probably
superior to those of other groups in the real
estate business. Property management activities
are also better adapted to large organizations,
which are less subject to the vicissitudes of vary-
ing business conditions It is probable that an
increasing proportion of the individuals engaged
in the real estate business will concentrate in
this field as the industry becomes more mature.
A third type of real estate activity is that of the
builder. While the bulk of the construction of
large properties is in the hands of specialised
construction firms and under architectural
supervision, a very substantial amount of the
building activities of the United States is carried
on by persons considered to be in the real estate
business, often spoken of as operative builders.
In larger cities they build, sell and operate
apartment properties. Much home building is
also carried on in connection with the real estate
business, and many large real estate firms, par-
ticularly those engaged in land development,
have building departments. Many single family
dwellings, often in operations involving tens or
hundreds of homes, have been built by persons
in the real estate business, although as a rule the
economies possible in large scale production
have not been realized. With some outstanding
exceptions builders from within the ranks of the
real estate business have not been associated
with programs for better or lower cost housing
or community planning. In the main they have
operated within the general standards of build-
ing ordinances and must take the chief responsi-
bility for row houses and many of the jerry built
structures of the country.
An interesting phase of specialization, grow-
ing out of a combination of brokerage and build-
ing, has been the construction and sale of co-
operative apartments in a number of the larger
cities of the country, particularly New York and
Chicago. In these buildings the property is held
in the name of a corporation, while the apart-
ment occupant virtually owns the space he
occupies under a long term lease through stock
ownership in the corporation proportionate to
the equity value of his apartment.
Another major type of activity is that of sub-
dividing 01 purchasing acreage tracts of land,
usually on the fnng ,s of cities, cutting them into
lots suitable for home sites and selling these lots
with or without such improvements as streets,
sidewalks, sewers, water and other utilities. For
such activities subdividers have been praioed, on
the one hand, as pioneers and city builders and
denounced, on the other, as land scalpers and
exploiters of uninformed people. Undoubtedly
considerable subdivision activity has been pred-
atory, based only upon seemingly plausible
arguments about land value increment to come
from a hypothetical city growth and ultimate
utilization of the land In the sale of subdivision
property some of the least commendable sales
activities in the United States have been em-
ployed. "Chump chariots," "bird dogs," "pitch
men" and a galaxy of high pressure sales tactics
have been used. Properties have been sold as city
lots while even the farm fences remained stand-
ing. In contrast to such activities are projects
that include development of the land and prepa-
ration of real home sites which are immediately
usable and whose value is established. To an
increasing extent subdividers are combining
home building with development work, saving
purchasers the risks and inconveniences at-
tendant upon individual home planning and
construction.
Nevertheless, some of the outstanding invest-
ment tragedies suffered by individuals in the
United States have occurred in the vicinity of
large cities, where the subdivider (the modern
version of the old land boomer) has laid out lots
in home sites far beyond the needs of the city for
decades to come. There is no phase of the real
estate business where the results of unbridled
acquisitiveness are so permanent, for it is in the
planning and sale of individual home sites that
the almost final pattern of housing and com-
munity building is determined. Although sub-
division development is a large capital operation
requiring an unusual combination of creative,
138
Encyclopaedia of the Social Sciences
planning, architectural and sales capacities as
well as financial strength and operators on a
subdivision development basis are therefore not
numerous, subdividers* operations have gener-
ally not covered sufficiently large areas for the
voluntary development of adequate and co-
ordinated street layouts, lot sizes and other items
essential to community planning. Here more
than in any other phase of real estate activity
there should be coordination with city and
regional programs and a vigorous regulation of
activities from a physical and an economic point
of view.
Since 1900 there has been, a rapid develop-
ment of property valuation as a specialized
branch of real estate activity in the United
States. In the past brokers almost without ex-
ception felt themselves qualified to earn ap-
praisers' commissions, but appraisal is clearly
the work of a specialist Although the standards
of efficiency attained in rating and valuation
work in England have not yet been reached in
the United States, the results of this type of
specialization should be very significant in the
development of sound building and land pur-
chase policies and in the placing of real estate
investment on a less speculative and haphazard
basis. Many students of land values and real
estate investment are convinced that in the past,
with notable exceptions, investments in real
estate have produced much lower yields than is
generally supposed. Considerable attention has
been given to real estate appraisal in some uni-
versities as well as in the real estate trade asso-
ciations.
Real estate financing presents another prob-
lem. Many individuals and organizations in the
real estate business negotiate mortgage loans. In
some cases the mortgages are made and sold to
private investors among the clientele of the real
estate or mortgage broker; on other occasions
the mortgages are negotiated on behalf of some
large institutional lender often located outside
the community. The more recent tendency in
the placing of mortgage loans has been to
eliminate the commissions and participation of
men in the general real estate business. Com-
munity financing institutions have found such
services to be merely an added cost to the
borrower. In the case of smaller mortgages the
virtual monopoly of the field by real estate
interests has resulted in short term loans, which
increase the frequency of renewal commissions,
rather than long term amortized loans suitable
to the needs of the borrower. The need for some
other type of real estate financing is one which
has not yet been met adequately in the United
States. Before 1929 large unit financing handled
through real estate organizations was tending
more and more to take the form of the sale of
real estate bonds. But this tendency has come to
be discredited because of the inflated appraisals
on which the loans were based and the resultant
receiverships and bond depreciation.
Most individuals and firms in the real estate
business participate in a variety of collateral
activities. For example, practically without ex-
ception insurance is written by real estate bro-
kers In contrast to English custom real estate is
bought and sold for quick turnover by persons
and firms otherwise engaged as agents or bro-
kers. Some persons and groups sell vacant land
on a speculative basis through what is termed
syndicate participation. Some act as administra-
tors or executors of estates which consist largely
of real property. Most real estate offices act as
amateur law firms in connection with contracts,
deeds, mortgages, notary services and the like.
Others serve small community home financing
institutions, such as building and loan associa-
tions and mortgage companies.
In the past the bulk of the real estate business
in the United States was sustained by interest in
speculative gains, by residential development
and by other situations resulting from the
growth and shift of population and a long, con-
tinued upward trend in the price level. These
conditions and many of the business opportuni-
ties growing out of them are perhaps phenomena
of the past, and it is likely that non-speculative
transfers and intelligent utilization and manage-
ment of real estate will come to form the bulk of
the business.
Up to the present moreover the real estate
business has been distinctly episodic. Since it re-
quires little capital, the numbers engaged in it
have multiplied rapidly in prosperity periods'
and since the income is dependent upon com-
missions and transfers rather than on week to
week or month to month services, a major ex-
odus has taken place in depression periods. It is
estimated that the number of persons engaged in
the business either full or part time at the be-
ginning of 1933 was approximately one half the
number participating in 1927. The volume of
sales clearing through general brokers' offices
and sales of subdivision property probably has
a wider swing in the transitions from prosperity
to depression and back to prosperity than is true
of general business activity.
Real Estate
Impatience with the promotional and specu-
lative activities of the real estate industry is in-
creasing. While it may be argued that Berlin and
Chicago in the 1 890*3 and Los Angeles and other
cities more recently were examples in part of the
pioneering and vision of the real estate man, the
public has paid pretty dearly for this phase of
private initiative and individualism. Growing
recognition of the public interest and the need
for public control over building and land de-
velopment as well as over the personnel may be
expected to result in decreased emphasis on
qualities of salesmanship and more on essential
business judgment, training and capacity, while
the adoption of national housing and planning
policies will stabilize the conditions under which
the industry must operate.
Specialization not only offers opportunities
for developing technique, but it encourages the
more successful men in a business to establish
standards of practise and ethics which will bring
public approbation and protection for them-
selves against border line or substandard con-
duct There has already been a groping for semi-
professional status among the members of the
real estate business in the United States But it
is in England that the business has reached
greatest maturity. Its position is maintained
through education and apprenticeship and the
establishment of ethical standards by profes-
sional societies. The English professional real
estate societies stand out as models for the rest
of the world to follow. There are four principal
societies- the Chartered Surveyors' Institution,
the Auctioneers' and Estate Agents' Institute of
the United Kingdom, the Land Agents' Society
and the Incorporated Society of Auctioneers and
Landed Property Agents. The oldest and most
advanced is the Chartered Surveyors' Institu-
tion, which was granted a royal charter in 1881;
in the same year the examination system for ad-
mission to membership was introduced. Out of
the more than 20,000 candidates who presented
themselves for the professional examinations be-
tween 1 88 1 and 1930 about 12,500 were success-
ful. Moreover the institution disciplines its
members and expels those who do not live up to
requirements. In 1933 there were approximately
8000 members. The Auctioneers' and Estate
Agents' Institute, with a membership of over
6000 in 1928, ranks next in importance. Since
1921 it has also had compulsory examinations
for membership. While voluntary sale of real
estate by auction has never been popular in the
United States, it is carried on extensively in
England and to a lesser degree in some of the
other European countries, notably France,
where it is felt that auction of property, after
advertisement by a reputable firm, will bring
the highest possible price. The institute has its
headquarters in London, where a palatial build-
ing houses the staff and library. Branch offices
are located in the various cities, where they can
deal more effectively with matters of local inter-
est. The institute provides a mart which may be
used upon payment of a fee by members who
have lived up to rules pertaining to the advertis-
ing of the property to be sold. All transactions
are recorded and are open to inspection by all
subscribers. The other two societies are organ-
ized and work along much the same lines All
encourage professional education in the uni-
versities, sponsor helpful legislation and through
membership restrictions maintain a high stand-
ard, which results in a very definite benefit to the
public.
In the United States the National Association
of Real Estate Boards has made substantial
efforts to improve the standards of conduct in
the real estate business The term realtor is
owned by the association and may be used only
by members. Membership and use of the trade
name are conditioned upon agreement to abide
by the rules and code of ethics of the organiza-
tion. The control here exercised is largely volun-
tary on the part of the individual, although some
of the constituent boards have maintained very
high standards of business conduct and re-
sponsibility. The national organization has en-
couraged education and the extension of public
licensing as a supplement to its own self-
imposed standards.
In Europe the real estate business is in general
less well organized than in England or even in
the United States. In most European countries
the transfer of real property is less frequent and
the procedure more cumbersome. The notary
public is a much more important personage than
in English speaking countries; he is often ap-
pointed by the government and is the agent
through whom the bulk of real estate transac-
tions is made. Most countries have laws requir-
ing a public record of documents affecting the
transfer of real estate In France the law stipu-
lates that all property sales shall be published in
official journals and that no sale can be con-
summated until at least forty days after first
publication. The notary prepares the deed,
registers the sale and attends to all legal matters
in connection with the transfer. There are a
Encyclopaedia of the Social Sciences
140
considerable number of persons who conduct
rental and brokerage businesses; many sales
moreover are made, as in England, through pub-
lic auction, and real estate men rather than
notaries usually advertise and conduct such
sales. But the high cost of transfer and relatively
stable land values lessen the number of sales and
trades as compared with the United States. In
Switzerland property seldom changes hands.
Transfers when made are cumbersome and re-
quire expert legal talents. In another country a
purchaser must hold a property approximately
twenty years before he can receive a final docu-
ment evidencing ownership.
In the United States public control of the real
estate business has tended to concentrate on
regulating the conduct of the persons in the
business through license laws. More than half
the states have provided by statute for real estate
licenses: real estate brokers and salesmen in
their employ must have licenses before they may
accept commissions to act as agents in real estate
transactions. This type of control therefore
covers only the agency aspects In some states a
license is not granted unless the applicant has
passed a more or less difficult examination de-
signed to test his technical knowledge or compe-
tence; but in most states licenses are granted
virtually to all who apply, provided they pay the
required fee, usually ten dollars or less per year.
Universally, however, the laws stipulate that the
licensing authority may revoke or refuse to re-
new licenses, if upon a proper showing it is
demonstrated that the licensee has violated cer-
tain standards. While establishing certain min-
imum standards of conduct and thereby elim-
inating the most vicious procedures, such public
control cannot hope to improve practises above
those already common to a substantial majority
of the business. It may be expected that as
general business standards are raised through
education and directed effort of the trade asso-
ciations, those of public regulation will follow.
But major dependence in this type of control
must rest upon voluntary action.
Land planning and restrictions on land utiliza-
tion exert a different form of control on the real
estate business. One of the results of such ac-
tivity is the stabilization of land values as well as
of land uses and thereby the elimination, to a
certain extent, of speculative possibilities. The
more far sighted members of the real estate
business have welcomed such measures, recog-
nizing their own dependence in the long run on
satisfaction of the public interest. The earliest
efforts in this direction were the zoning laws,
which sought to eliminate conflicts of real estate
uses in adjacent areas and required approval be-
fore recordation of subdivision plats. More re-
cently community and regional plans have come
into prominence and in a few places into opera-
tion. Programs for public housing and long time
planning of land utilization point the way to
possible future developments.
MORTON BODFISH
See: LAND SPECULATION; BOOM; LAND TRANSFER;
HOUSING, SLUMS; SUBURBS, GARDEN CITIES, HOME
OWNERSHIP, URBANIZATION; LAND MORTGAGE CREDIT,
section on URBAN, BUILDING AND LOAN ASSOCIA-
TIONS, PROPERTY TAX; SPECIAL ASSESSMENTS; BUILD-
ING REGULATIONS; ZONING, CITY AND TOWN PLAN-
NING; REGIONAL PLANNING.
Consult Fisher, E. McK , Advanced Principles oj
Real Estate Practice (New York 1 930), Hmman, A G.,
and Dorau, H B , Real Estate Merchandising (Chicago
1926); Babcock, Frederick M , The Valuation of Real
Estate (New York 1932), North, N. L , Van Buren,
D. W., and Smith, C E , Real Estate Financing (New
York 1928), Reep, Samuel N., Second Mortgages and
Land Contracts in Real Estate Financing (New York
1928), Theobald, A. D , Financial Aspects of Sub-
division Development, Studies in Land Economics,
Research Monograph, no 3 (Chicago 1930), Hoyt,
Homer, One Hundred Years of Land Values in Chicago
(Chicago 1933), Sakolski, A. M., The Great American
Land Bubble (New York 1932), Bodfish, H M , "Real
Estate Activity in Chicago Accompanying the World's
Fair of 1893," and "The 'Free-Lot' Subdivider" in
Journal of Land and Public Utility Economics, vol. iv
(1928) 405-16, and vol. v (1929) 187-98, 285-92;
Sunshine and Grief in Southern California (Detroit
1931); "Real Estate Problems," ed. by Karl Scholz,
American Academy of Political and Social Science,
Annals, no. 237 (1930) 1-243; Theobald, A. D , "Real
Estate License Laws in Theory and Practice" in
Journal of Land and Public Utility Economics, vol. vu
(1931) 13-21, 138-54, Eberstadt, Rudolf, Handbuch
des Wohnungswesens und der Wohnungsfrage (4th ed.
Jena 1920), especially ch n; Reich, Emmy, Der
Wohnungsmarkt in Berlin von 18401910, Munchner
staats- und sozialwissenschafthchen Forschungen,
vol. cbuv (Munich 1912).
REAL ESTATE TAXATION. See PROPERTY
TAX; GENERAL PROPERTY TAX.
REALISM. The original intention of the term
realism is to assert the existence of real things
as opposed to the products of the mind, which,
in so far as they are fancies and imaginations,
are considered not to be real things. It is, how-
ever, a word which has been used with a con-
siderable variety of meanings.
The term is first applied in philosophy to
Plato's theory of forms. Socrates is credited with
the doctrine that universab possess a more real
Real Estate Realism
141
existence than physical things. What Socrates
chiefly had in mind, it seems, was mathematical
concepts, such as number and triangularity,
and moral concepts, such as justice and virtue.
This view is the basis of Plato's celebrated
theory of forms, or ideas. The question which
the theory is primarily designed to answer is:
Why do things come to exhibit qualities which
they had not before or to lose qualities which
they had? The answer is that they exhibit or
lose such qualities because of the presence in or
absence from them of certain non-material
forms. For example, a thing becomes beautiful
because the form of beauty is present in it; it
ceases to be beautiful because the form is with-
drawn from it.
The forms were conceived by Plato to consti-
tute the real world, a world of immaterial logical
entities, permanent, perfect and changeless,
standing in immutable relations to one another.
The forms are not only not thoughts in a mind
but they are independent of any mind, human
or divine. For this reason the use of the word
ideas to denote them is highly misleading. For
this reason also Plato's doctrine may be said
to constitute the earliest form of what is known
as conceptual realism. Conceptual realism not
only makes the negative assertions common to
all forms of realism, that reality is not ex-
clusively minds or a mind, is not thoughts in
minds or a mind and is not dependent for its
existence upon being thought about by minds or
a mind, but positively asserts that reality in-
cludes certain immaterial entities, sometimes
called universals, such as humanity, whiteness,
triangularity, justice and so on.
It is this second positive assertion which
constitutes the distinguishing tenet of scholastic
realism. Scholastic realism, of which the most
prominent exponent was William of Champeaux
(c. 1070-1121), maintains, following Plato, the
independent reality of essences, potentialities,
principles, causes, which are conceived not as
ways of representing facts or as the properties
of things, but as independent agencies which are
responsible for the occurrence of the phenomena
they are invoked to explain. Because a stone fell
to the earth when dropped, realist philosophers
were inclined to say that it possessed a "prin-
ciple of gravity" which caused it to seek the
earth's center; the fact that quinine prevents a
cold would be explained as due to its possession
of a "cold-forbidding essence," which would be
thought of as a form with which the material
of quinine had combined. The doctrines of
scholastic realism were criticized by the nom-
inalists, who maintained that universals, es-
sences or forms were nothing but the general
names by means of which we denote the com-
mon qualities possessed by different objects.
There were therefore in the nominalist view no
such independent entities as "whiteness" or
agencies such as "cause," "whiteness" being
simply the common quality of cream and snow,
"cause" a relation between events.
With the decline of scholastic philosophy at
the close of the Middle Ages the center of
philosophical interest shifted. There began the
vogue of idealism, first subjective and subse-
quently objective; and, if we except the work of
the Scottish philosopher Thomas Reid (1710-
96), who maintained a realist theory of knowl-
edge in order to urge the claims of common
sense, idealism may be said to have held the
philosophical field practically unchallenged until
the end of the nineteenth century Thus it is not
until comparatively recent times that realism
reappears in a new guise as a specifically mod-
ern theory. The starting point of the realist re-
vival is to be found in two articles which G. E.
Moore contributed to Mind at the beginning of
the twentieth century ("The Nature of Judg-
ment" and "The Refutation of Idealism" in
Mind, n.s., vol. viii, 1899, p. 176-93, and vol.
xii, 1903, p. 433-53); the first deals with the
theory of perception, the second with that of
concepts. These two theories, \\hich constitute
the two main strands of modern realism, may be
most conveniently considered separately. Com-
mon to both is acceptance of the maxim enunci-
ated by the Austrian philosopher Meinong
(1853-1920). "That there cannot be an act of
knowing without something to know, or more
generally that there cannot be an act of judging,
even an act of apprehending at all, without
something to judge, something to apprehend,
is one of the most self-evident propositions
yielded by a quite elementary consideration of
these processes."
The application of this maxim to the problem
of perception has resulted in a number of
theories which have little in common except
their affirmation of the independent existence of
the perceived object. As soon as the questions
are raised, "What sort of object is the object
perceived?" and "What is the nature of the
mental activity by which it is known?," wide
divergencies of view are apparent. Perhaps the
best known of the various views is that which
asserts that the objects known in immediate
Encyclopaedia of the Social Sciences
142
sensory experience are sense data, or sensa. This
view has been put forward at different times in
England by G. E. Moore, Bertrand Russell,
P. T. Nunn, C. D. Broad and others and in the
United States by the contributors to The New
Realism. Sense data are defined by Bertrand
Russell as "the things that are immediately
known in sensation: such things as colour,
sound, smell, hardnesses, roughnesses and
so on."
The view of the external world as consisting
of independent entities (sense data) which are
revealed to the mind of the perceiver exactly
as they are has afforded a philosophical back-
ground which is in the main congenial to the
natural sciences. If the part played by the
knowing mind in our knowledge of the external
world is merely revelatory, it follows that prob-
lems of epistemology may be ignored by the
scientist. "Out there" in space is a directly re-
vealed world of external fact; all that the
scientist has to do is to explore it. Realism has
borrowed in its turn from the natural sciences
certain mental habits. In the first place, it has
adopted from science the method of tackling its
problems singly. It is not the case, as idealists
have supposed, that it is necessary to know the
whole truth about everything in order to be able
to assert some true propositions m regard to
particular problems. Refusing therefore with
one or two exceptions, such as Professor Alex-
ander, to commit themselves to all-embracing
metaphysical systems many realists indeed
have denied the possibility of such systems in
the old sense realists have isolated their prob-
lems and tried by careful logical analysis to find
out exactly what could and what could not truly
be said on particular issues.
In recent years, partly on account of the
epistemological difficulties which realism has
experienced in defining the relation of sense
data to physical objects, partly on account of the
changing trends of physics, the alliance between
science and realism has tended to break down.
Not only is the relation of sense data to physical
objects obscure, but sense data are completely
foreign to the world affirmed by modern physics.
Moreover the world of modern physics is not
directly perceived; hence it is difficult to avoid
the conclusion that it is somehow constructed
from the world which is perceived. As a result
there is a new insistence on the activity of the
mind in scientific thought. This has Jed to a wide
acceptance of idealist views by contemporary
physicists, who have not hesitated to acclaim the
activity of the mind in constructing not only the
scientific but the familiar world. Thus Kant has
taken the place of the realists as the philosopher
most congenial to modern physics.
In its application to ethics and aesthetics
modern realism has taken the form of a con-
ceptual realism, not unlike the Platonic theory of
forms. In Pnncipta Ethtca G. E. Moore con-
tended that goodness is an ultimate and objec-
tive subsisting entity which cannot be further
analyzed but is intuitively perceived; he also
made the same claim for the subsistent truth.
The result is a utilitarian ethic, so far as means
are concerned, a right action being defined as
one that has the best actual consequences on the
whole, and an mtuitionist conclusion in regard
to ends, the best consequences being defined as
those which contain the greatest quantity of such
ultimate goods as virtue, truth, beauty, which
are intuitively perceived to be valuable. An
analogous doctrine has been suggested in aes-
thetics by Roger Fry and developed by Clive
Bell and others. Bell in his book Art contends
that "significant form" is the distinguishing
characteristic of a work of art. It is, he holds, in
virtue of their possession of significant form
that we experience aesthetic emotion in con-
templating such works. The doctrine implies
(although Bell does not explicitly draw the
implication) the metaphysical conception of an
absolute and objective beauty, whose presence
in the object confers significance upon it.
It is largely through its alliance with the
scientific outlook an alliance which, as has
been said, continued until the rise of the new
physics and which indeed is still operative on the
cultural levels of thought that philosophical
realism has had any direct bearing upon the
social sciences. It has formed part of the general
reaction from objective idealism, which has led
to the decline of the Hegelian view of the state
and has contributed to the growth of political
pluralism, which involves the affirmation of the
independent integrity and real rights of bodies r
such as corporations and trade unions. Just as
realism affirms the reality of things apart from
minds and of parts independently of wholes, so
political pluralism affirms the reality and the
rights of bodies within the state independently
of the state.
C. E. M. JOAD
See PHILOSOPHY; SCIENCE; LOGIC; SCHOLASTICISM;
RATIONALISM; MATERIALISM, IDEALISM, NATURALISM;
PLURALISM, PRAGMATISM.
Consult. Taylor, A. E , Plato; the Man and His Work
Realism Reason of State
'43
(3rd ed. London 1929), Haure"au, J Barthe"lemy,
Htstoire de la philosophie scholastique, 3 vols (and ed.
Pans 1872-80) vol. i, ch. xrc, Moore, G. E , Philo-
sophical Studies (London igaa), Russell, Bertrand,
The Problems of Philosophy (London 1012), and Our
Knowledge of the External World (2nd ed New York
1929), Broad, C D , Tlte Mind and It* Place in Nature
(London 1925), Drake, Durant, and others, Eitavs
in Critical Realism, a Co-operative Study of the Prob-
lem of Knowledge (London 1920), Holt, E B , and
others, The New Realism, Co-operative Studies in
Philosophy (New York 1912), Montague, W. I J , The
Ways of Knowing (London 1925), Meinong, Alexius,
Uber Annahtnen, Zeitbchrift fur Ps\chok>ie und
Physiologic der bmnesor^ane, supplementary vol n
(Leipsic 1902), Husserl, Edmund, Loqtsthe Unter-
surhungen, 2 vols (3id ed Halle 1922), Alexander,
Samuel, Space, Time and Deitv, 2 vols (London
I920\ Joad, C E M , Matter, Life and Value (Lon-
don 1929), Moore, G E , Pnnnpia Ethica (Cam-
bridge, Entf 1903), Bell, Cine, Art (^th ed London
1921) pt i, Hartmann, Nicolai, Ethik (Berlin 1926),
tr by Stanton Coit, 3 vols. (London 1932).
REASON OF STATE is one of the more im-
portant of the concepts which have contributed
to the building up of a rationale of the absolute
state. First widely used in the sixteenth and
seventeenth centuries to rationalize the ruthless
employment of political power, it was taken over
into the theories of nineteenth century national-
ism and imperialism and has a current impor-
tance with the ascendancy of new dictatorships
and new absolutisms.
The concept is the historical root for the
fundamental category of purposive or objective
rationality in political behavior. Political be-
havior is objectively rational (Max Weber's
Zweckrational) when it is adapted to creating,
preserving or expanding a configuration of social
relationships in terms of power; subjectively ra-
tional behavior, on the other hand, is rational in
terms of ideas or values. To be sure, actual be-
havior will rarely be objectively rational unless
there is a conviction that the object to be attained
is valuable. There is nevertheless ai important
difference between a study of ideas, values or
norms and one of the means employed in their
realization.
Machiavelli, who is often but incorrectly
regarded as the originator of the concept of
reason of state, affords in his writings a striking
confirmation of this distinction as well as an in-
dication of its limitations. For his ideas not only
revolve around the problem of the necessary
conditions of successful political action but tend
to confirm his (subjectively rational) faith that
the state, or organized political community, is
the highest of all goods, because it is the condi-
tion of all good life. This faith he shares with
classical antiquity, with Plato, Aristotle and
Cicero. Built as it was upon the three ideas of
pagan virtue, or manliness ,fortuna and nece\si(a t
it made a rationally coherent whole in the mind
of Machiavelh and in those of his contem-
poraries who had lost faith in the teachings of
Christ as interpreted by the church. To those
who had not thus lost faith it was shocking
heresy. But some of the latter, like Botero, at-
tempted to salvage the "truth" contained in
Machiavelli 's passionately detached analysis re-
garding the conditions of successful political
action So far reaching was its influence that
strictly anti-Machiavellian writers, like the
Calvmist Johannes Althusms, became deeply
concerned with these problems. Memecke, in
his magistral volume on reason of state, while
protesting that "the rich content of the idea of
reason of state cannot be enclosed vuthm the
narrow limits of a definition," indicated what is
commonly understood by the term, it is the
principle of political action, the law of motion of
the state It furnishes the guiding principle for
the statesman in fulfilling his function of main-
taining and strengthening the commonwealth,
according to Memecke an organic configuration
whose full strength is maintained only if it can
somehow continue to grow
It is evident that the specific content of the
concept at any particular time must be affected
by the nature of the scate or government in-
volved Machiavelli and his followers, Hobbes,
for instance, \\ere inclined to look upon govern-
ment as a mechanical system applied to human
beings molded according to unalterable natural
laws. Others, like Bodm and Althusius, who
clearly perceived the inapplicability of Maclua-
velh's generalizations to local conditions as they
knew them, attempted to analyze regional or na-
tional variations affecting not only individuals
but the system of rule to \\hich they might suc-
cessfully be subjected As against such internal
variations Richelieu and Putendorf stressed the
variety of external conditions which make cer-
tain actions rational for one government and
irrational for another. Such differentiation is
indeed not entirely lacking in Machiavelli and
Botero, who were concerned, for example, with
differences between the policy of large and
small states. But it is only with the increasing
nationalism of the eighteenth and nineteenth
centuries that reason of state comes to be con-
ceived as strictly limited to one national state
and its peculiar genius. The pinnacle of tins
Encyclopaedia of the Social Sciences
144
trend, with its implied abandonment of valid
generalizations, is reached with Hegel and the
historical school for which he provided the im-
petus. Curiously enough Marx* use of Hegelian
dialectics provided the most effective challenge
to this individualizing trend. The broad general-
izations of the Communist Manifesto forced those
interested in combating its political implications
to seek more accurate generalizations about the
conditions of successful political action. In this
endeavor they were met by those whom the
random generalizations of Rousseau's political
gospel, as applied in the French Revolution and
its Napoleonic aftermath, had aroused from
their dogmatic slumber. There resulted during
the nineteenth and twentieth centuries a rising
tide of more or less serious inquiry into objec-
tively rational political behavior, which crys-
tallized into modern political science.
In spite of its importance in European litera-
ture the concept of reason of state has played a
negligible role in English and American political
theory. This is largely because the concept of the
state as a corporate entity above other social
groupings has never become established in
Anglo- American thought. On the other hand,
the policies of both countries provide many il-
lustrations of that subordination of other ends to
the maintenance and expansion of the state
which are the essence of the concept. The phrase
manifest destiny embodies a less scholarly ap-
preciation of reason of state which uses indi-
viduals as mere agents in the " inevitable" for-
ward thrust of political power.
More objectively viewed, these principles of
political action become raw material for the
science of politics. Whether or not such inquiry
can be divorced from a belief or faith in the state
as the highest good depends upon whether its
conclusions are presented in definitive terms or
as conditional hypotheses. Perhaps the greatest
risk in such inquiry is that of becoming absorbed
in the state or the church or the trade union or
any other concrete configuration of power, and
thus transforming a study of the conditions of
successful political action into a social philoso-
phy claiming ultimate value for such action.
CARL JOACHIM FRIEDRICH
See: POWER, POLITICAL; STATL; ABSOLUTISM; STATES-
MANSHIP, OPPORTUNISM; NATIONALISM, POLITICAL
SCIENCE.
Consult Meinecke, Friedrich, Die Idee der Staatsrdson
in der neueren Geschichte (3rd ed. Munich 1929), and
review by C. J. Friedrich in American Political
Science Review, vol. xxv (1931) 1064-69; Ferrari,
Giuseppe, Histoire de la raison d'ttat (Paris 1860),
with bibliography p 427-56; Montesquiou, Leon de,
La raison d'etat (Pans 1902); Barthelemy Saint-
Hilaire, Jules, "Raison d'etat" in Diet wnnaire general
de la politique, ed by M. Block, 2 vols (new ed. Paris
i 8 73-74) v l- t P 765-66, Troeltsch, Ernst, Der
Histonsmus und seine Probleme, Gesammelte Schriften,
vol. in (Tubingen 1922).
REBELLION is frequently used in a broad
sense almost interchangeably with such terms
as insurrection and revolution. Statutes and
courts of law do not generally distinguish a
specific crime of rebellion but punish all up-
risings as forms of treason. Such indiscriminate
usage, however, fails to recognize significant
variations in the causes and motivation of up-
risings. It therefore seems desirable to employ
the term rebellion m its narrower sense to denote
an uprising of more or less significant propor-
tions intended to effect territorial autonomy or
independence but not complete overthrow of the
central government.
This was its meaning in the Roman Empire,
where the word rebellare was used to refer to
the renewal of war by peoples which had been
subdued. Rome conquered a world but failed
to find a political system which would reconcile
the traditions of a city-state with the military
exigencies of holding down conquered prov-
inces and defending far flung frontiers. The fall
of the Roman Empire might be described as a
series of rebellions in the provinces brought
about in varying degrees by the ineradicable
faults of military despotism, the collapse of the
administrative and financial machine as a result
of underlying economic causes as yet undeter-
mined, the pressure of the barbarians outside
and within the frontier and the very traditions
of Rome which created within the provinces a
tradition of their own. Before Augustus the
provinces were regarded as the estates of the
Roman people (praedia populi romanf). They
were ruthlessly exploited by governors, who had
absolute power for one year. A system of money
lending and tax farming developed with the con-
nivance of the Senate; many punitive expedi-
tions were little more than debt collecting affairs.
The emperors proved incompetent not only in
governing the empire but also in defending it.
Neither the reforms of Diocletian, the division
of the empire into east and west nor Constan-
tino's acceptance of Christianity could arrest
the forces of disintegration. As pressure on the
frontier grew, self-protection drove some of the
provinces to organize into independent king-
doms. Finally the empire split up in the west
Reason of State Rebellion
into separate kingdoms under the leaders of
revolting or immigrating troops: the Visigoths
in Gaul and Spain, the Vandals in Africa and
the Ostrogoths in Italy. What little is known of
the administrative and military structures of the
empires which preceded Rome suggests the
same problems of rebellious vassal states and
revolting troops (see EMPIRE).
China like Rome illustrates one of the funda-
mental patterns of rebellion the collapse of a
military and bureaucratic imperial machine un-
der the pressure of internal corruption and the
impact of unexpected forces on the frontier. The
conditions which had secured the acceptance of
thirty dynasties m China were destroyed by the
impact of Europe in the nineteenth century. The
leader of the Taiping Rebellion of 1853, Tien-
Wang, received from an American missionary
a version of the doctrine of the Trinity in which
he found a place for himself; his rebellion, aim-
ing at the control of the entire empire, succeeded
in ruling over the southern portion of the empire
for eleven years and was subdued only with the
assistance of western troops and guns under
General Gordon As the central government at
Poking was weakened by the influx of western
ideas, it was inevitable that the economic differ-
ences of regions whose centers were far apart
should take on a political form A China in
contact with western ideas can be controlled
only from Nanking, in the valley of the Yangtze,
where the two civih/ations meet. Attempts to
maintain such control from Peking have proved
unavailing The Chinese empire has become a
loose federation of quasi-autonomous provinces,
governed by military tuchims giving only a nomi-
nal allegiance to the central government. Some
sections have become practically independent,
among them areas under governments which are
termed communist. The communist rebellions
in China are peasant revolts rather than up-
risings of an urban proletariat such as are con-
templated by theoretical communism, but these
elemental attempts to escape from an oppressive
economic and military system have been seized
upon and given form by political missionaries
imbued with the communist ideal.
The reformation and the growth of nation-
ality led to a confused pattern of rebellions by
reason of the fact that religious beliefs did not
coincide with national or dynastic boundaries.
The growing power of the commercial classes
challenged the arbitrary claims of kings, while
the conflict of religious doctrines raised within
each unit of government m Europe acute prob-
lems as to the nature of obedience. These con-
ditions gave to western thought Machiavelh in
Italy, Bodm in France and Hobbes in England;
they caused the disintegration of Italy, the revolt
of the Netherlands, the Fronde in France and the
Thirty Years' War in Germany.
A new pattern of rebellion was produced by
the relation, which began with the discovery of
America, between the Old World and the New.
The problem raised was more difficult and
subtle than that of Rome and its provinces.
Communications were less effective by sea than
they had been by Roman road There v\as not
one empire but many: Spain, Portugal, France,
Holland and England. Commerce and the be-
ginnings of science made solution by military
power, bureaucracy or the apotheosis of an
emperor alike impossible. The rebellion of 1776
which created the United States testified to the
failure to combine representation at the center
with self-government at the periphery of a com-
mercial empire. The colonial assemblies over-
came the arbitrary power of the local executives
in the persons of royal governors only to find
themselves face to face with the sovereignty of
Parliament. The compromises of constitutional
monarchy were not adaptable to the conflicting
economic interests of so diverse an empire.
Since then the United States and the British
Commonwealth of Nations have each attempted
solutions of the same problem (see IMPERIAL
UNITY). Incidents in the experiments have been
the American Civil War, the Canadian rebellion
of 1837 which led to the Durham report, the
Irish rebellion of 1916 and the establishment of
the Irish Free State.
In the empire of Spain the theory of colonial
administration for three hundred years was that
of centralized control by the government m
Spain. The Creoles and Indians were practi-
cally disregarded m the governmental structure,
which was in the main administered by a bu-
reaucracy sent out from Spain but possessed of
considerable independent control by virtue of
the great distance from the home country. There
were bloody Indian uprisings, such as that of
Tupac Amaru (1780-83), which blindly sought
by destruction of white property and lives to
drive back the frontier and retrieve the land
from white control. The rebellions which ulti-
mately, in the first quarter of the nineteenth
century, established the independence of the
Spanish colonies in the New World were ru w-
ever, almost entirely the work of the Creoles
dissatisfied with their subordinate social and
146
Encyclopaedia of the Social Sciences
economic position and with the economic sub-
servience of the colonies to Spain under the
dominant colonial system.
The clash of economic interests which found
its expression in the wars of independence was
revealed also in rebellions attributable in a
measure to the question of slavery The Ameri-
can Civil War may be considered an attempt by
a section of the country which had its basis in
an agrarian slave economy to secede from a
nation which was becoming increasingly domi-
nated by a manufacturing free labor economy.
In French Haiti the planters' unwillingness to
abide by the action of the revolutionary National
Assembly in France in abolishing slavery led to
the slave uprising which succeeded in setting
up a black Haitian republic under Toussamt
L'Ouverture.
The most important cause of rebellion during
the nineteenth and twentieth centuries, how-
ever, has been the rise of nationalism and the
principle of national self-determination. Under
their powerful impulse formerly independent
units attempted to free themselves from sub-
servience to other political units and to reestab-
lish their independence. A long array of nation-
alist rebellions characterizes the period since the
French Revolution. Many of these were success-
ful, such as that of Greece in 1829, of Belgium
in 1830 and of Bulgaria in 1878; others, such as
the Polish rebellions of 1830-31 and 1863 and
the Italian rebellion of 1831, failed, at least for
the time being. In the case of Italy a series of
rebellions reestablished small independent units,
which were ultimately unified into a new na-
tional state The successful rebellions were not
always carried through by the rebel state itself;
often intervention by one or more of the great
powers decided the outcome of the rebellion
Mention might be made of the role of imperi-
alist aspirations in the fostering of rebellions.
This appears perhaps only as a strong under-
current in the rebellion which in 1836 converted
Texas from a state of Mexico into the independ-
ent "Lone Star State," to be incorporated into
the United States nine years later It is much
more obvious in the uprising in Colombia in
1903, which quickly, under the helpful eye of
the United States, created an independent Pan-
ama and paved the way for the construction of
the Panama Canal. In the case of the setting up
of the puppet state of Manchukuo in 1932, the
hand of Japan was so obvious that no attempt
was made by the central Chinese government to
contest the claim of independence.
In the empires of the ancient world before
Rome moral justification for rebellion could be
found in the claim that the terms of submission
had been violated. Priests or soothsayers could
no doubt find imperfections in the ceremonies
of submission whenever successful revolt seemed
possible Under feudalism the relation of ruler
and ruled was based on the idea of a reciprocal
contract. There was a right of dijfidatw, or of
formal renunciation by a vassal of his allegiance
to his lord, and of rebellion. The development of
nationality in western Europe and the long tra-
dition of unity, temporal and spiritual, that was
the legacy of Rome and Christianity necessitated
a justification for rebellion in the later Middle
Ages and in the sixteenth century which was the
beginning of the modern theories of the state
and the nature of individual rights.
The justification for rebellion did not stop at
the case for secession but went on to question
the nature of communities among men. The
very forces the development of industry and
commerce which brought different communi-
ties into such close contact that they could not
but face the question of the causes of their
difference were found to be themselves a great
factor in those causes. It had long been realized
that behind the legalized rebellion of barons
against an arbitrary king there was another re-
bellion, the "base and abject routs" of boys and
beggars described by Shakespeare (Henry iv:
Pt. 2, Act iv, Sc i). The economic interpreta-
tion of history marshaled the "base and abject
routs" scattered through history into an advanc-
ing army. The proletariat soon loomed as large
in political speculation as had the state of nature
and the social contract. For the industrial revo-
lution, by accelerating economic change, re-
vealed the influence of that change on the fate
of nations With that increased rate of change
the theory and practise of rebellion began to
pass into the theory and practise of social revo-
lution.
K. SMELLIE
See- INSURRECTION; REVOLUTION AND COUNTER-RFVO-
LUTION, MUTINY; SEDITION; TREASON, BELLIGERENCY;
CIVIL WAR, OBEDIENCE, POLITICAL, MARTIAL LAW;
DE FACTO GOVERNMENT; NATIONALISM, MINORITIES,
NATIONAL, EMPIRE
Consult Headlam, Cecil, "The Constitutional Strug-
gle with the American Colonies, 1765-1776," and
"The American Revolution and British Politics, 1776-
1783," and Atkinson, C. T., "The War of the Ameri-
can Revolution, 1775-1782" in Cambridge History of
the British Empire, vol. i (Cambridge, Eng. 1929) chs.
xxii (11), xxv and xxiv; Beard, Charles A. and Mary,
Rebellion Recall
'47
The Rise of American Civilisation, 2 vols (new ed
New York 1933) vol i, chs vi vn, xiu, and vol n,
chs xvii-xvm, Kirkpatrick, F A , "The Establish-
ment of Independence in Spanish America," and
Edmundson, George, "Brazil and Portugal" in Cam-
bridge Modern History, vol x (Cambridge, Eng 1907)
chs ix x, Chapman, C E , Colonial Hispanic America
(New York 1933) chs. xu-xvii, Hayes, C J H , Essays
on Nationalism (New Yoik 1926) ch. v, Great Britain,
Royal Commission on Rebellion in Ireland, Report,
Cd. 8279 (1916), Curtis, Lionel, The Capital Question
of China (London 1932) chs. vii, ix.
RECALL. The recall is a political device de-
signed to enable the electorate, through a special
election, to replace a public official before the
normal expiration of his term of office. It differs
from removal by judicial process, impeachment
or executive action in that the decision emanates
directly from the electorate, thus, in theory at
least, affording a more effective popular control.
The recall, which seems to have originated in
certain Swiss cantons, appeared in America in
the Articles of Confederation and was discussed
in the Constitutional Convention. Nevertheless,
its present use in the United States, where it has
been of greatest significance, is the result of an
entirely independent political movement.
Originally introduced in the Los Angeles
charter of 1903, the recall, with the initiative
and the referendum, soon rose to prominence
in the program of the "progressive movement,"
which reached its height in Theodore Roose-
velt's campaign for the presidency in 1912 Its
spread was accelerated by the nation wide atten-
tion it attracted when it was successfully invoked
to remove a conniving politician from the Los
Angeles city council shortly after the prowsion
had been introduced. It has been adopted in
somewhat varying forms to apply to state officers
in twelve states and to public officials in well
over a thousand local governmental agencies
In addition to the constitutional provisions a
number of states have statutory provisions ap-
plying the recall to local officers. Such provi-
sions are common in legislation regarding the
commission and commission-manager forms of
government. The movement for its extension
reached a halt in 1920, but there has been no
concerted effort toward the abandonment of the
recall and not infrequently it is still included in
new municipal charters.
Five different types of recall have been insti-
tuted in the United States: the recall of elective
officials other than judges, the recall of appoin-
tive officials, the recall of judges, the advisory
recall of federal officials and the recall of judicial
decisions. The last, particularly as applied to
decisions holding statutes unconstitutional, is
more aptly classed as a form of referendum (see
INITIATIVE AND REFERENDUM).
The only type which has been used exten-
sively is the retail of elective officials other than
judges Lending itself easily to political contro-
versy, it became one of the chief issues during
the progressive period Its opponents charged
that the device would be abused for personal,
partisan and factional ends, that it would destroy
official independence and that it violated the
American form of representative government.
Its advocates looked upon it as a means of free-
ing the officeholder from dependence upon
bosses and special interests, of giving the public
continuous control of all officials and of making
those officials constantly responsive to public
vull As a result, they felt, it would increase the
interest of the citi/ens in their government and
would, at the same time, permit the necessary
concentration of authority and responsibility
and lengthening of terms of office. They be-
lieved that it \vould not be necessary to employ
the recall very frequently; its mere presence as
a "gun behind the door" would be sufficient in
most cases
The recall of appointive officials has been
adopted only in Kansas and in a small number of
local governmental units Many of the exponents
of the recall principle have opposed its applica-
tion to administrative officers on the ground
that it requires of the electorate a technical
knowledge which the electorate generally does
not possess.
The proposal to permit the recall of judges
precipitated the most violent conflict of opinion.
It was assailed on the ground that it nullified
the independence of the judiciary and was bit-
terly opposed by most judges and by those who
saw in it a threat to the privileges of property.
Its defenders based their argument not upon the
ability of the electorate to pass upon the correct-
ness of technical legal decisions but upon the
people's right to control certain acts of the judi-
ciary which were termed essentially political
rather thanjudicial. Such, they claimed, were the
acts of judges in declaring laws unconstitutional
on grounds which to the progressives repre-
sented blind adherence to outworn economic,
political and social dogmas. Since in most states
the judges secured their office through election,
they were susceptible to the same influences as
other elective officials and should be subjected
likewise to continuous popular control. Despite
Encyclopaedia of the Social Sciences
the terrific battle which raged about it the judi-
cial recall appears to have been used not more
than a half dozen times, in Ariyona, California
and Oregon. In practically all of these cases its
use was based not upon specific technical judi-
cial decisions but upon dissatisfaction with the
performance of certain administrative duties and
the lax application of certain criminal laws.
Two states have attempted indirectly to apply
the "advisory" recall to certain federal officials,
who are not directly subject to state law. In
Arizona candidates for Congress are given an
opportunity in advance of the election to agree
to abide by a vote for their removal. That state
provides further that the people may vote to
advise the resignation of a federal judge having
jurisdiction within the state and may at the
same time recommend a successor. North Da-
kota by an amendment which was adopted in
1920 also attempted to apply the recall to con-
gressmen.
Recall procedure in the United States, al-
though subject to considerable variation, in-
volves the securing of a valid, or "sufficient,"
petition which must state the charges against
the official, the holding of an election to deter-
mine whether the official shall be removed and
the choice of a successor. Most commonly the
voters are called upon to vote for or against
recall and separately, but on the same ballot, to
select a possible successor. A second arrange-
ment provides that the incumbent shall on the
filing of a valid recall petition become a candi-
date to succeed himself in competition with
other candidates; a third limits the election to
the question of removal from office, with pro-
vision, should the recall succeed, for filling the
vacancy by the usual method or by a second
election. Certain safeguards for the benefit of
the official are usually provided. Recall petitions
may be prohibited for a certain period of grace
at the beginning of the term or for a second
time during a single term. The official is usually
permitted to place on the ballot or the petition
a formal statement in his defense A few states
refund the cost of the campaign to the official
where the move for recall is defeated in the
election.
The predictions of the originators of the recall
that it would be used sparingly have been borne
out. In only two instances has it been success-
fully employed against officials elected by an
entire state: in 1921 against Governor Lynn J.
Frazier of North Dakota, the attorney general
and the commissioner of agriculture and labor;
and in 1922 against two members of the Public
Service Commission of Oregon. It has been
applied occasionally to state legislators and to
judges of county courts. Its principal applica-
tion, however, has been to elective officials in
local governmental units. An extensive investi-
gation in California, where it has apparently
been employed more widely than in any other
state, showed that from 1903 to 1928 a total of
208 recall petitions were filed, involving 434
officials, and 155 elections were held, of which
72 were successful in removing a total of 130
officials. It is of some significance that the num-
ber has tended to increase in recent years. From
this limited investigation and others it is esti-
mated that throughout the United States as
many as 400 recall elections have been held,
involving the removal of perhaps 300 officials,
or an average of 10 each year.
Any adequate discussion of the causes of
recalls would involve consideration of the under-
lying motives, impulses and frictions which in-
fluence the functioning of all democratic govern-
ment. Officials have been removed for such
trivial causes as the use of profanity in a public
meeting and on such serious charges as con-
nivance in the letting of public contracts. Recalls
have been sponsored variously by political re-
formers, disgruntled taxpayers, opposing politi-
cal factions, underworld interests, moral cru-
saders and even rival paving companies seeking
exclusive business privileges. In the formal
statements of the grounds for recall the most
frequent charge has been "general incompetency
and inefficiency," and an almost equally popular
avowed charge has been "wastefulness and ex-
travagance in the expenditure of public funds";
but these perfunctory declarations often fail to
disclose the real motivating forces behind the
recall movement.
The disquieting problems brought to light in
the operation of the recall are mainly those
generally related to the operation of democratic
government. Unnecessary political turmoil has
sometimes been aroused, needless election ex-
penses have been incurred, and competent offi-
cials have been seriously embarrassed by short-
sighted criticism and self-seeking factionalism.
There is a growing tendency, however, for the
recall to correct its own weaknesses; in those
areas in which it has been too lightly applied
sentiment has developed against its employment
except as a last resort.
The recall has been invoked effectively in
several instances to remove officials whose con-
Recall Receivership
duct was so subject to suspicion as to undermine
public confidence in their integrity and services,
while there was no possibility of legally proving
official turpitude or malfeasance. It has found
its most satisfactory application, however, in
permitting the removal of elected officials who
have arbitrarily run counter to the wishes of the
electorate.
The most constructive and significant advan-
tages of the recall arc too intangible for more
than general appraisal. It has permitted length-
ening of the terms of office and shortening of the
ballots without incurring the risk of the estab-
lishment of arbitrary bureaucracies. It has estab-
lished the principle of responsibility and re-
sponsiveness to the extent that the public is
capable of understanding it and of benefiting
thereby. Finally, it has helped to maintain public
interest and confidence, because the public
knows that it possesses a potential weapon for
controlling the government.
Outside the United States recall provisions
have been marked by two outstanding charac-
teristics. Aside from the Union of Soviet Social-
ist Republics, where the constitutions of the
constituent republics provide that representa-
tives to the soviet may be recalled by their con-
stituencies at any time, European constitutions
generally provide for the recall of the entire
legislative body rather than of individual legis-
lators. The first recall provisions in Swiss can-
tons were of this type, and even now this form
exists in some cantons which do not provide for
the recall of the executive There is no record
of any use of the recall in Switzerland. At least
twelve German Lander provide for recall of the
Landtag and nine for recall of municipal coun-
cils. The former provisions have been invoked
eight times, and although no Landtag has actu-
ally been dissolved by a recall election, three have
resigned with such elections impending. Wells
lists twenty attempts to recall municipal coun-
cils, at least four of which succeeded. The sec-
ond feature of the recall outside the United
States is the provision for its application to the
president; such a clause is found in the Weimar
constitution, in the Austrian constitutional revi-
sion of 1929 and in the Latvian constitution. In
all of these instances the recall of the president
has been automatically and inversely connected
with the recall of the lower house of the national
assembly. In no case have these recall provisions
been invoked. The National Socialist dictator-
ship has completely vitiated any significance
which the recall may have possessed in Ger-
149
many, the only European country in which it
has actually been used.
FREDERICK L. BIRD
See INITIATIVE AND REFERENDUM, DEMOCRACY; MU-
NICIPAL GOVERNMFNT, IMPEACHMENT.
Consult Bird, F. L , and Ryan, F. M , The Recall of
Public Officers (New York 1930), with extensive bib-
liography, Haunou, Andr6, "Le droit de revocation
populaire" in Revue pahtique et parlementaire , vol cxx
(1924) 63-75, Battelli, Maurice, Les institutions de
democratic direct e en droit suisse et compart moderns
(Pans 1932), Zurcher, A J , The Experiment with
Democracy in Central Europe (New York 1933) p.
107-12, Wells, R H , German Cities (Princeton 1932)
p. 97-102.
RECEIVERSHIP. In Anglo-American law a
receiver is defined as an indifferent person be-
tween the parties who is appointed as a minis-
terial officer of a court to collect and hold rents,
profits or proceeds of land or personal property
and to distribute them to the party or parties
finally found to be entitled to them. Receiver-
ship is an ancient device worked out by the
Court of Chancery in England when it was ec-
clesiastical in personnel. Its function was to
provide for such purposes as carrying on the
estate of a dead man or administering the prop-
erty of an infant, except in cases where the re-
ceiver was a mere stakeholder, holding a fund
or piece of property until interests were adjudi-
cated. The old institution is still occasionally in-
voked for these modest ends, as where a mort-
gage is foreclosed and during foreclosure a re-
ceiver is appointed to collect rents and hold them;
or where a creditor asks that a receiver be ap-
pointed to realize assets of his debtor; or where
a receiver is appointed pending dissolution of a
partnership. But the major significance of re-
ceiverships today lies in the field of enterprises
which are embarrassed financially. In reality
receivers, particularly in the United States,
have become operators of large business enter-
prises including industrial corporations and
such major public utilities as railroads.
The importance of receivership in the United
States may be gauged from the fact that at
various times nearly 25 percent of the entire
railroad system of the country has been in re-
ceivership, the receivers becoming virtually
operators of this large fraction of the transporta-
tion system. Since 1870 there have been over
one thousand railroad receiverships. The insti-
tution of receivership has been greatly extended
in times of depression or shortly after. To the
receiverships of railroads and large industrial
enterprises must now be added large real estate
Encyclopaedia of the Social Sciences
150
ventures. From January i, 1917, to December
i, 1923, the United States District Court for the
Southern District of New York, which is the
leading eastern forum for equity receiverships,
appointed receivers for 233 corporations with
nominal assets above $750,000,000.
There are two types of receivership in the
United States: bankruptcy and equity receiver-
ships. A receiver may be appointed in bank-
ruptcy pending the appointment of a trustee.
Not infrequently the person appointed by the
court as receiver is later chosen by the creditors
to act as trustee m bankruptcy, virtually con-
tinuing the same function. The bankruptcy act
apparently contemplates the appointment of a
receiver as an exceptional procedure, but the
practise has grown nevertheless to great propor-
tions Bankruptcy, however, is best adapted to
the purpose of effecting liquidation, while the
equity receivership is invoked when the objec-
tive is reorganization. This is facilitated by the
fact that the American test of bankruptcy is not
the inability to meet maturing obligations but
an excess of liabilities over assets. The equity
receivership is thus suited to the situation of a
concern in temporary financial difficulties and
has become the favorite form of receivership.
It was the only resort in the case of railroads,
which were debarred from the benefits of bank-
ruptcy proceedings
The operating receivership in equity may be
of either state or federal origin, but in large
enterprises the federal court is the usual forum.
The federal equity receivership is usually a
"consent" receivership. Because of the diversity
of citizenship of bondholders, creditors and
corporation entry into the federal courts is easy.
In a formal sense the procedure is collusive.
Receiverships have been sustained which have
been instituted on the bill ot the insolvent cor-
poration itself or upon the bill of a simple
judgment creditor. The operating consent re-
ceivership is the towering exception to the
normal rule that apart from statute an msecured
creditor who has no judgment is not entitled to
the appointment of a receiver. The consent
receivership, which was regarded as revolu-
tionary when first employed but now hardly
excites comment, has been traced back to the
Wabash receivership which arose in 1884. The
consent receivership was finally directly sus-
tained by the Supreme Court in 1908, when it
passed upon the validity of the equity receiver-
ship of the New York City transit lines (Re Met-
ropolitan Railway Receivership, 208 U.S. 90).
The historical origin of the institution of
receivership has embarrassed its further de-
velopment. Receivers are supposed to be "in-
different"; yet the practise of securing a
"friendly receiver," an individual chosen by the
corporation which flees to an equity court or
bankruptcy court for protection against its
creditors, has too often resulted in causing the
receiver to be an individual who is expected to
carry out the wishes of a dominant group of
stockholders or creditors, as the case may be.
Since the appointment of receivers is one of the
important bits of patronage which a court can
dispense, not infrequently a co- receiver is ap-
pointed, sometimes a friend of the judge or a
political ally
A receiver succeeds to all of the rights of the
corporation or estate for which he is appointed;
his first task is to ascertain claims against the
property; he may pay certain claims as preferred
under highly technical rules; he may be called
upon to segregate the income, in case any part
of the property is mortgaged, so as to assure
to the mortgagee the income arising from the
mortgaged property, he may bring suits for
mismanagement against previous officers, and
while he is in possession, as a general rule, no
claims may be brought against the property
except through him, and they may not be en-
forced except by a specific order of the court.
Contempt procedure is available for the protec-
tion of the property in the hands of a receiver.
Before the labor injunction was fully developed
it was invoked in two instances to curb strikes
against railroads in receivership
The primary duty of the receiver is of course
to manage the property and safeguard the
funds. The management of the property can be
and often is manipulated in such a direction
as to give emphasis to the claims of one or
another group of contending creditors or stock-
holders seeking ultimate domination of the
properties. Particularly where a railroad goes
into receivership and the friendly receiver is the
former president of the railroad, there is a
tendency for him so to handle affairs as to
safeguard the stockholding interests as against
the creditors; although of course any combina-
tion is possible. Courts m such cases have taken
the position that they were neutral adjudicators
in the ensuing struggle to determine which
class of claimants should come out best on re-
organization; and receivers in theory take the
same attitude. In practise some judges have
insisted that the receiver should take a real
part in making sure that the reorganization
plan is fair and that the properties are main-
tained in a state permitting a fair reorgan-
i^ation; but this view is still regarded as
progressive and has not been accepted by many
courts.
Where, as is usually the case with railroads
and frequently so with large corporations, the
enterprise cannot be sold or liquidated or, if
liquidated, shrinks enormously in value, the
property virtually must stay m receivership until
a plan of reorganization has been worked out.
Reorganization involves scaling down the debts,
perhaps wiping out the junior interests, putting
the enterprise m condition to command addi-
tional working capital and then turning it back
to some or all of its former owners and creditors.
This is effected by the receiver through a
foreclosure sale to the creditors or mortgage
bondholders, who in turn resell the property
to a new corporation, taking in payment securi-
ties of that corporation and distributing them
according to the prearranged plan of reorgani-
zation. In this case the process of receivership
may last for a long time.
Because of this, where the enterprise is vital
to the public, as in the c<ise of a railroad, the
receiver has certain unusual powers. He may,
for instance, issue, with the approval of the
court, "receiver certificates" in return for bor-
rowings, which are first liens on the property
even ahead of mortgage obligations; but in
theory these are limited to cases where, without
such borrowings, the public interest would
suffer. In any case he has the right to hire
counsel and, with the approval of the court, to
hire and discharge employees necessary for the
safeguarding of the property and the carrying
on of the enterprise.
Receiverships have been attacked as being
unduly costly. Unquestionably there has been a
legitimate basis for complaint in this regard,
particularly where the receiver is either an oper-
ating man attached to the property, giving his
primary loyalty to some group within the em-
barrassed concern, or where he is purely a
patronage employee, who merely collects his
fees and relies on the former operating staff to
run the concern. There have been, however,
instances of conspicuously able receivers; and
the complaint of undue expense is perhaps more
properly leveled at the attorneys in the case, who
quite frequently assent to very large claims for
fees on the part of receivers and their attorneys,
feeling that thereby the receiver will make no
Receivership 151
objection to their own claims for fees. In this
respect receiverships do not differ from other
cases in which claims are assessed against prop-
erty and there is no one present effectively to
assert the desire for economy a situation like
that which exists when a trust estate or an
estate under a will is finally settled.
A factor which has added materially to the
cost and cumbersomeness of reorganization
under receivership procedure is the necessity of
appointing ancillary receivers when the receiver-
ship property lies in several jurisdictions. Even
a federal receiver may ordinarily sue only in
the district where he has been appointed. The
rule was laid down in an early case [Booth v.
Clark, 58 U S 322 (1854)]. In the case of rail-
road receiverships its effects have been mitigated
by a provision of the federal judicial code which
provides that where land or other property
of a fixed character extends as a unit into
different districts within the same state or
different states within the same federal circuit,
the jurisdiction of the federal court shall be
extended accordingly. A plan has been spon-
sored to expand the principle so as to make it
apply to the w r hole country and to all types of
receivership.
Another factor in the cost of receivership
which has been the subject of much comment is
the necessity for the foreclosure sale as a step
in reorganization. The foreclosure is usually
initiated by the trustee for the mortgage bond-
holder, whereupon the receiver offers the prop-
erty for sale. But in fact the sale is a mere
form of reorganisation, for there are normally
no purchasers for the properties of an insolvent
railroad or large industrial corporation except
the old security holders. Cash is necessary only
for the purpose of paying off security holders
who do not assent to the plan of reorgani-
zation and for the expenses of administration.
The expense of foreclosure would be less of a
consideration if thereby the court could finally
dispose of the equities. But dissenting minority
interests remain the bane of any reorganization;
the court's normal means of curbing them is
to fix a low upset price, i.e. the minimum
price at which it will confirm a sale. A low
upset price naturally operates to force a recal-
citrant minority into line. Despite the decree
of sale, however, reorganizations are not even
free from the danger of subsequent attack, for
in the much discussed Boyd Case a simple con-
tract creditor was able to prevail on equitable
grounds against a reorganization of many years
Encyclopaedia of the Social Sciences
152
standing [Northern Pacific Ry. v. Boyd, 228
U.S 482 (1913)].
There are available some instructive figures
as to both the duration and cost of railroad
receiverships. The more than 600 receiverships
between 1870 and 1894 lasted between two and
three years. But the 222 receiverships between
1894 an d I 93 I f r ads operating more than
100 miles approximated an average duration of
three and one half, and those of roads operating
more than 1000 miles had a duration in excess
of four years. There are now pending about 50
receiverships (over 30 were begun after the
close of 1929), and these have been pending for
an average period of approximately five years.
The duration of receiverships has thus been
steadily increasing.
The cost of these railroad receiverships is
very great The expense of reorganization of
the Wabash (191 1-16) is reported as $3,449,500;
that of the Pere Marquette (1912-17) as $2,679,-
ooo; that of the Western Pacific (1915-16) as
$2,000,000. A record cost was reached in the
reorganization of the Chicago, Milwaukee and St.
Paul, the expense of which was over $5,000,000.
In this case the attempt of the Interstate Com-
merce Commission to control reorganization ex-
penses was invalidated by the United States
Supreme Court [United States v. Chicago, Mil-
waukee, St. Paul and Pacific Railroad Co., 282
U.S. 311 (1931)]. In the Transportation Act of
1920 the commission had been given a share of
power in railroad reorganization by a provision
requiring its approval of the issue of railroad
securities. It is not absolutely clear from the
Supreme Court's opinion whether it held merely
that the commission had acted ultra vires or
more seriously that Congress could not confer
upon the commission the authonty to fix re-
organization expenses.
Some of those who urge the reform of existing
receivership procedure look to English example.
In England the extension of managing re-
ceiverships of corporate enterprises has been
slow. A distinction between a receiver and a
manager is still maintained and the courts have
shown themselves loath to embark upon mana-
gerial functions. The general rule is that a
manager may not be appointed in the case of
"statutory" undertakings. It took a special stat-
ute to enable the courts to appoint a manager
for a railroad (Railway Companies Act, 1867,
sect. 4, made perpetual by the act 38 & 39 Viet.
c. 31), and the suit can be brought only by a
judgment creditor. Although it is now settled
that a manager will be appointed over the under-
taking of an ordinary limited company on the
application of mortgagees or debenture holders
whose securities include the goodwill, the de-
velopment is comparatively recent, for the power
was denied in Makins v. Percy Ibotson & Sons,
[ i Ch. 1 3 3 ( 1 89 1 )] . Moreover the manager may be
appointed for a brief period only, and a special
application must be made to the court if it is
necessary to continue the appointment. Where
the liquidation of a limited company is desired
a special "winding up" procedure exists. Where
a company is only temporarily in straits there is
available under a so-called Arrangements Act a
reorganization procedure which enables the
court without any necessity for a judicial sale
to approve a plan of reorganization to which
the consent of a three- fourths majority in amount
of the various classes of creditors has been ob-
tained.
A similar plan of reorganization by decree
upon the agreement of a stated majority of
classes in interest has been urged for adoption
in the United States There are indeed some
who urge that courts of equity already have the
power despite American constitutional limita-
tions to effect such reorganization, and a few
courts have actually ventured to dispense with
the meaningless formality of sale. The most
notable case is Phipps v. Chicago, R. I. & P. Ry.
Co. [284 Fed. 945 (1922)], a decision of the
Circuit Court of Appeals for the Eighth Circuit,
which, however, the Supreme Court was pre-
vented from reviewing.
A new era in railroad reorganization may date
from the amendment of the Bankruptcy Act of
March 3, 1933, which for the first time has
made a bankruptcy procedure available to rail-
roads The act seeks to eliminate most of the
evils of the equity receivership. It dispenses with
ancillary receiverships and judicial sales and
provides that a plan of reorganization when con-
firmed shall bind all security holders of each
class of which two thirds in amount shall have
accepted its terms. The scrutiny of the reorgani-
zation plan is entrusted to the federal district
judge before whom the proceedings have been
commenced and to the Interstate Commerce
Commission. The act thus contemplates the
collaboration of court and commission, but the
plan must in the first instance be formulated
and approved by the commission. The new pro-
cedure has been criticized on several grounds:
for the duplication of function on the part of
court and commission; for the extremely liberal
Receivership Reception
right to be heard which it gives to dissenting
interests; for the retention of the upset price
device when the majority agreement required by
the act cannot be achieved; and for its incon-
clusive provision with respect to the fixing of
reorganization expenses by the commission
Experience with the act has of course been too
brief to permit a judgment of its operation.
Certain modern commentators had long in-
sisted that the institution of receivership was
outgrown. They favored a government bureau
acting as liquidator or operator as the case
might be. In the case of railroad reorganization
the administrative ideal has only been partly
realized. In the case of other enterprises the
problem still remains unsolved. The choice of
an efficient legal technique is important, but it
must not be forgotten that the problem is
conditioned also by the nature of American
economic organization.
A. A. BERLE, JR.
See BANKRUPTCY; CORPORATION FINANCE; CORPORA-
TION, EQUITY.
Consult Kerr, W. W., The Law and Practice as to
Receivers (Qth ed. London 1930), Clark, R. E., A
Treatise on the Law and Practice of Receivers, 2
vols. (znd ed. Cincinnati 1929), Heft, L, Holder*
of Railroad Bonds and Notes (New York 1916), Glenn,
Garrard, Tfie Rights and Remedies of Creditors Re-
specting Their Debtors' Property (Boston 1915), Tracy,
J E , Corporate Foreclosures, Receiverships and Re-
organizations (Chicago 1929); Rosenberg, James N ,
and others, Corporate Reorganization and the Federal
Court (New York 1924); Lowenthal, Max, The In-
vestor Pays (New York 1933), Byrne, James., "The
Foreclosure of Railroad Mortgages in the United
States Courts," and Cravath, Paul D , "The Reorgan-
ization of Corporations" in Stetson, F L , and others,
Some Legal Phases of Corporate Financing, Reorganiza-
tion and Regulation (New York 1917) p. 77-152, and
153-234, Dewing, A S , The Financial Policy of Cor-
porations (rev. ed New Yoik 1926) bk v, Rohrlich,
Chester, Law and Ptactice in Corporate Control (New
York 1933) ch vn, Swam, IJ H , "Economic Aspects
of Railroad Receiverships" in American Economic
Association, Economic Studies, vol in (1898) 54-161;
Daggett, Stuart, "Recent Railroad Failures and Re-
organizations" in Quarterly Jownal of Economics,
vol. xxxu (1918) 446-86, Glenn, Garrard, "The Basis
of the Federal Receivership" in Columbia Law Re-
view, vol xxv (1925) 434-46, Hanna, John, "The Re-
ceiver in Bankruptcy" in Southern California Law
Review, vol 111 (1930) 241-65, Kaufman, J W., "The
Trust Company as Bankruptcy Receiver" in United
States Law Review, vol. Ixv (1931) 249-57; First,
Joseph, "Extraterritorial Power of Receivers" in
Illinois Law Review, vol. xxvu (1932) 271-89, Laugh-
1m, J. E , Jr , "The Extraterritorial Powers of Re-
ceivers" in Harvard Law Review, vol. xlv (1932) 429
65; Rose, W H , "Extraterritorial Actions by Re-
ceivers" in Minnesota Law Revietv, vol. xvu (1933)
704-33; Spring, S., "Upset Prices in Corporate Reor-
ganization" in Harvard Law Review, vol. xxxu (19191
4 8 9-5i5, Weiner, J L , "Conflicting Functions of the
Upset Price in Corporate Reorganization" in Columbia
Law Review, vol. xxvii (1927) 132-56, Colin, R. F ,
"Why Upset Price?" in Illinois Law Review, vol. xxvm
(*933) 225-37, Swame, Robert T , "Reorganization
of Corporations Certain Developments of the Last
Decade" in Columbia Law Revietv, vol xxvii (1927)
901-31, and vol. xxvm (1928) 29-63, Bonbnght, J.
C , and Bergerman, M M , "Two Rival Theories of
Priority Rights of Security Holders in a Corporate
Reorganization" in Columbia Law Review, vol xxvm
(1928) 127-65, Israels, C. L , "Reorganization Sales,"
and Buscheck, A. J , "A Formula for the Judicial Re-
organization of Public Service Corporations" m
Columbia Law Review, vol xxxu (1932) 558-78, and
964-98, Frank, J N , "Some Realistic Reflections on
Some Aspects of Corporate Reorganization" in Vir-
ginia Law Review, vol. xix (1933) 54170, and 698-
718, Leesman, E M , "Corporate Trusteeship and
Receivership" in Illinois Lazv Review, vol. xxvui
(1933) 238-64, Carey, H F , and Brabner-Smith, J.
W., "Studies in Realty Mortgage Foreclosures. Re-
ceiverships" m Illinois Law Revieiv, vol. xxvii (1932)
717-60, Clark, Ralph E , "English and American
Theories of Receivers' Liabihtieb" in Columbia Law
Review, vol xxvii (1927) 679-85, First, Joseph, "Li-
ability in the Conduct of Receiverships" m University
of Pennsylvania Law Review, vol bcxx (1932) 943-59;
Clark, E E , Foley, H E , and Shaw, O. M , "Adop-
tion and Rejection of Contracts and Leases by Re-
ceivers" in Harvard Law Review, vol xlvi (1933)
1111-36, Bilhg, T. C., "Corporation Reorganization;
Equity vs. Bankruptcy" in Minnesota Law Review,
vol. xvn (1933) 237-69, Rodgers, C , and Groom, L.,
"Reorganization of Railroad Corporations under Sec-
tion 77 of the Bankruptcy Act" in Columbia Law Re-
vietv, vol. xxxm (1933) 571-616, Nelles, Walter, "A
Strike and Its Legal Consequences an Examination
of the Receivership Precedent for the Labor Injunc-
tion" in Yale Law Journal, vol xl (1931) 507-54;
Fraser, W. K , "Reorganization of Companies m
Canada" in Columbia Law Review, vol. xxvii (1927)
932-57-
RECEPTION. When the term reception is
used without further qualification, it usually re-
fers to the reception of the Roman law in
mediaeval Europe. The theoretical reception of
the Roman law is sometimes distinguished from
the practical reception. The former represents
its intellectual assimilation, while the latter im-
plies its actual application in legal practise.
Again the particular is sometimes also differ-
entiated from the general reception of the
Roman law. The former refers to the infiltration
of specific rules of Roman law, while the latter
designates its adoption as a whole as the basis of
the jurisprudence of a particular country.
The gradual assimilation of Roman legal ideas
by the Germanic peoples who came into contact
with the superior Roman civilization is readily
understandable and is already evidenced in the
Encyclopaedia of the Social Sciences
154
various leges barbarorum. The revival of the
scientific study of the Roman law did not come
until the time of the Italian glossators, who
flourished in the twelfth century. But it is not
necessary to accept the so-called continuity
theory of Stintzmg and Fitting that a direct line
of legal scholarship may be traced from Justinian
to Irnerius in order to understand the survival
of the Roman law, which like Roman civilization
as a whole never "collapsed" entirely. A debased
Roman law continued to be applied in practise
in Italy, even if it was not the subject of learned
development and treatment, although schools
of both Lombard and Roman law seem to have
existed before the school of Bologna. The
Roman law was known first in the form of the
Theodosian code, and then in the form of the
codification of Justinian
In other countries the persistence of the
Roman law was aided by many factors the po-
litical ascendancy of Rftne, the inherent excel-
lence of the Roman law; its role in the formation
of the canon law; its Latmity, which made it the
natural preference of the learned, and, finally,
the regime of the personality of laws, which
everywhere entitled Latins to be judged by their
own law. The absence of strong national feeling
facilitated the acceptance of the claim of the
Roman law to authority. In the Middle Ages the
Roman law was even regarded as ratio scrtpta,
or written reason. With the revival of learning
its influence was greatly extended.
Thus it is not surprising that the reception of
what was more or less Roman law should have
taken place almost throughout western Europe.
The Scandinavian countries alone remained
relatively immune Even in northern France,
the region of unwritten law, the supposedly
Germanic coutumes were greatly adulterated
with Roman law Not even England escaped its
influence As Zulueta has put it, England really
had a glossator in Vacarius and a post-glossator
m Bracton. Maitland in his celebrated essay
English Law and the Renaissance suggested that
English law in the sixteenth century was in
danger of being displaced by Roman law. In any
event England like France received Roman law
in homeopathic doses, which made possible its
assimilation as an organic part of the native legal
system.
A general reception of the Roman law, how-
ever, took place in only a few countries, notably
Italy and Germany. The Roman law was re-
ceived in Germany in complexu as late as the
fifteenth century. Probably because of this fact
and the degree of completeness of the break
with previous development represented by the
reception, the phenomenon has been the subject
of almost endless speculation and controversy
and has become virtually a test of party regular-
ity. Romanists have tended to accept the recep-
tion as a matter of course, while Germamsts have
tended to regard it as nothing short of a miracle.
It is almost forgotten that the law books of
Justinian were received only as they had been
reworked by the Bartolists, who had already
adapted them to the needs of mediaeval Italy.
Indeed the rule was quod non agnoscit glossa non
agnosctt forum. The Roman law moreover was
received, at least at first, only as a general sub-
sidiary, or common, law Where statutes were
passed m derogation of it or where contrary
customs could be proved, they prevailed.
Economic, political and religious causes for
the reception of the Roman law in Germany
have been listed by many historians. According
to the economic argument, with the growth of
commerce and the development of a money
economy a more highly developed legal system
such as the Roman law became imperative This
theory involves two difficulties In the first place,
it is based upon the assumption that the native
law was inadequate to meet the new needs of the
German towns. In the second place, it is not in
accordance with the facts, for it was in the towns
that there was least dissatisfaction with the na-
tive law. The law of the important commercial
city of Lubeck, for instance, remained compara-
tively unromanized Moreover the heyday of the
German commercial cities preceded the recep-
tion. Politically the reception is supposed to
have been facilitated by the absolutistic claims
of the princes. The Digest contained such bits
of precious doctrine as princeps legibus wlutus
and quod princtpi placuit, legis habet vigorem y
which seem to have been of obvious service-
ability in strengthening the hands of the princes.
But there is no particular evidence that the
jurists were pressed into service for this pur-
pose, and German absolutism at any rate did not
flower until well toward the seventeenth cen-
tury. The scraps from the Digest were no doubt
valuable as window dressing, but they had to
become known before they could be invoked As
for the Reformation itself, it had no immediate
connection with the reception. In the triad of
Renaissance, Reformation, Reception the last
came earliest. The law against the church had
already developed in the era of the hegemony
of the church. At any rate the jurists, who by the
fifteenth century were almost always doctores
utriusque juris, doctors of canon as well as of
civil law, took sides and could quote the Scrip-
tures as well as the pagan Digest for their pur-
poses. The same had been true earlier in Italy,
where jurists could be found in the camps of
both the Guelphs and the Ghibellines.
According to the most orthodox theory, the
decisive cause of the reception lay neither in
these external causes nor in the inner condition
of the Germanic law but in the prevailing po-
litical system. The absence of a strong central
power made it impossible to establish a strong
central court to administer a unified legal system
or a legislative organ to help in its creation The
disunity in German law in turn discouraged its
scientific cultivation. Those Germans in the
fifteenth century who wished to study juris-
prudence had to turn to the Italian schools, and
there the study of jurisprudence meant the
study of the Roman law. The acceptance of the
Roman law was made to seem natural by the so-
called theory of continuous empire. It was
generally held indeed in the mediaeval world
that all political theory emanated from the old
Roman Empire. The Carolmgians after their
conquest of the Lombards had regarded them-
selves as Roman emperors, and later the title
became attached to the German crown. When
an imperial court, the Reichskammergencht, was
established in 1495, it was commanded to de-
termine causes according to the common law of
the empire, which meant the Corpus juris civilis.
The reception was completed in the local codes
of the fifteenth and the sixteenth century, in
which the doctors of the civil law took an active
part.
This view of the reception is borne out by
English legal history. It was the existence of the
King's Court in England that created a national
common law and a national jurisprudence,
which flourished in the Inns of Court. To a
lesser degree this was true in France with its
parlements and in Germany itself, in Saxony,
where the native law had found literary state-
ment in the celebrated Sachsensptegel. Yet it is
difficult to escape the impression that the his-
torians are attempting to make a process appear
inevitable which to some extent at least involved
elements of accident, will and choice.
There has been a tendency in Germany to
regard the reception as catastrophic. No doubt
Germanic legal ideas were submerged and the
Roman ideas which replaced them were often
imperfectly absorbed and improperly under-
Reception 155
stood. But the importance of the Volksgetst in
shaping a nation's law lias been exaggerated.
The peasants who said Die Juristen sind bose
Christen had in. mind the doctores utriusque
juris, but the reason for this dislike could hardly
have been that the latter were familiar with
Roman law Popular suspicion of jurists of all
persuasions has been all but universal. It was a
widespread belief some decades ago that the re-
ception was one of the important causes of the
Peasants' War, but more recent historians have
exploded the legend There is no good evidence
that the jurists of the period of the reception did
not distinguish the peasants' tenurial rights
from the more absolute forms of ownership of
the Roman law; but even if this had been true,
the Roman law would have been no more than
an excuse for dispossessing them. As a matter of
fact the discontent of the peasants was due to
unfavorable economic conditions; for instance,
the fall of agricultural prices.
Next to the German the most celebrated
general reception in the history of western law is
the reception of the English common law in the
United States. Here there were after the revolu-
tion both legislative organs and general courts,
even if at first there was an almost negligible
number of law schools. Yet common law was re-
ceived despite the fact that there had been dur-
ing the revolutionary period a general suspicion
of English law and the lawyers French influence
after the revolution was so considerable that it
has even been pretended that if books of the
civil law had been available in adequate trans-
lation the Roman law would have had another
wonderful conquest. But the issue was never
really in doubt. English law was a part of Eng-
lish culture which the colonists could not do
without even after the hegemony of the mother
country was ended. Emotionally at least there
was "a continuance empire." The late colonists
drew upon English law as needed, adapting it to
American conditions. Mechanically the most
important factor in the reception was the fact
that the books of the common law were written
in the English language. Yet even so it was not
always understood. It need merely be recalled
how Coke's doctrine of the supremacy of law
became American constitutionalism. Moreover
as a result of the leaning upon English precedent
native reforms were often delayed, and when
secured were sometimes perverted. There was
indeed nothing wrong in the looking to English
example. But in this form of comparative law
there was only one standard of comparison.
156
Encyclopaedia of the Social Sciences
The general study of the role of the process of
reception in the development of legal systems
has yet to be pursued. The concept of reception
has been applied increasingly to other bodies of
law than the Roman. Thus there has been traced
the influence of cuneiform law upon the law of
the Bible. The Roman law itself probably
borrowed from more ancient systems. There is a
legend of an embassy to Greece in connection
with the compilation of the Twelve Tables.
Mitteis has shown that the Roman Empire had
to recognize the popular local law of the east,
which in the post -classical period not only bor-
rowed from the Roman law but before long re-
paid the debt. While Riccobono accounts for
the changes represented by Justinian law by a
process of internal development, Collmet argues
that they had a Hellenistic origin In the mediae-
val period German town laws as well as the
laws of the Italian cities were copied by the
Slavs, who also borrowed extensively from the
canon of the Eastern church. In modern times
there has been in many civil law countries an
almost literal reception, first of the French and
then of the German civil codes, and institutions
of the common law have influenced the public
law of many western countries. Such a common
law institution as the jury has become virtually
a world institution. Outside the orbit of western
law there was a reception of ancient Chinese law
in old Japan, and now both of these oriental
countries have borrowed from the French and
German civil codes.
The controversies over legal reception are
strongly reminiscent of the diffusionist contro-
versy m anthropology. In the spread of legal as
of other ideas there must be considered the
possibility not only of diffusion but of parallel
development. But the problem should not be
posed in the alternative. As always in the de-
velopment of a culture both diffusion and
parallel development must be taken into ac-
count. Given contact in a historical period, dif-
fusion cannot be doubted, particularly since law
in mature civilizations is the product of scien-
tific cultivation.
In the encounter of two bodies of law the more
highly developed has the better chance of
victory. It has an immediate advantage in the
superior excellence of its rules. Thus it has been
said of the Roman law that it prevailed non
ratione imperii sed imperio ran'onis. The scientific
cultivation of a body 01 *aw is perhaps an even
greater advantage in the struggle for survival.
"Taught law," as has aptly been said of the
common law, "is tough law." Perhaps a third
and most important factor is the tie of political
allegiance. It is not necessary to accept the view
of the analytical school that law is only the
creature of the state to concede the ultimate con-
nection between the fortunes of a legal system
and state power. The political might of Rome
and England supplied the prestige which made
all but inevitable the great careers of their legal
systems.
Apparently the type of law most suitable for
reception is in the field of private law. The
highly developed Roman law of obligations al-
most completely displaced that of the Germanic
law. The reception of criminal law seems to be
much less intensive. The Roman criminal law
was in large part quickly set aside by imperial
legislation, and in the United States common
law crimes were at once abolished. Here political
factors are too pressing and powerful. Specific
institutions of public law are even less likely to
be received. It is political theory rather than
public law that makes headway.
It seems remarkable at first sight that even
private law institutions should be so adaptable.
The pagan Digest apparently suited Christian
Europe well enough, and the monarchic com-
mon law received a welcome in democratic
America. Perhaps part of the answer is that
Europe really never was Christianized it has
been said that the first and last Christian died on
the Cross and that the effects of the demo-
cratic revolution in the United States were mod-
erated by the fathers of the constitution. But
part of the answer is also that the sociological
basis of private law has been exaggerated. The
primary function of a system of private law is to
provide fundamental forms for business enter-
prise, and its excellence lies after all in the state
of its technical development.
Above all the reception of legal ideas has been
aided by the tendency of certain systems or
branches of law to develop upon an international
basis. The strength of the Roman law lay pre-
cisely in the fact that it had absorbed so many
elements of the laws of other peoples that it was
particularly suited to become a world law. In
mediaeval Europe the feudal law was a com-
mon law and the canon law was a universal law.
Always maritime and commercial law have
passed across national frontiers. Today an inter-
national assimilation of private law is being
actively promoted by a science .' comparative
law. As a result of this and as an outcome ot me
process of fusion which has been proceeding for
Reception - Recidivism
centuries a system of western law may be said to
have arisen.
WILLIAM SEAGLE
See: LAW, COMPARATIVE LAW, ROMAN LAW, COMMON
LAW; CIVIL LAW, CODIFICATION, GERMAN CIVIL
CODE; DIH-USIONISM.
Consult. Vinogradoff, P. G , Roman Law in Mediaeval
Europe (2nd ed. Oxford 1929), with bibliography;
Association of American Law Schools, A General
Survey of Events, Sources, Persons and Movements in
Continental Legal History, Continental Legal History
series, vol i (Boston 1912); Meynial, E , "Roman
Law" in The Legacy of the Middle Ages, ed. by C. G.
Crump and E. F. Jacob (Oxford 1926) p 363-99;
Hazeltme, H. D , "Roman and Canon Law in the
Middle Ages" in Cambridge Mediwal History, vol. v.
(Cambridge, Eng. 1926) ch. xxi; Zulueta, F. de ( "The
Science of Law" in The legacy of Rome, ed. by C.
Bailey (Oxford 1923) p 173-207, Sohm, R , "Franki-
sches Recht und rorrusches Recht" in Zeitsihrift der
Savigny-Stiftung fur Rechtsgeschtchte, vol i (1880)
1-84, Schiller, A A , "Sources and Influences of the
Roman Law, m-vi Centuries AD" in Georgetown
Law Journal, vol xxi (1932-33) 147-60, and literature
there cited, Fleischmann, M , "Ubcr den Emfluss des
romischen Rechts auf das deutsche Staatsrecht" in
Melanges Fitting, 2 vols (Montpelher 1907-08) vol 11,
P 635-98, Below, G. von, Die Ursachen der Rezeption
des romischen Rechts in Deutschland (Munich 1905),
Fay, S. B , "Roman Law and the German Peasant"
m American Historical Review, vol xvi (1910-11)
23454, Aulnn, G., "Der Emfluss der Re^eptlon des
romischen Rechts auf den deutschen Bauernstand" m
Jahrbiicher fur National okononne und Statistik, 3rd
ser., vol xhv (1912) 721-42, Holscher, E. E , Vom
rdmischen sum chnsthchen Naturrecht (Augsburg 1 93 1 )
p 85-107, Schroder, R , Lehrbuch der deutschen
Rechtsgeschtchte (yth ed by E von Kunssberg, Berlin
1932) p 864-75, Maitland, F. W , English Law and
the Renaissance (Cambridge, Eng 1901), Scrutton,
Thomas E , The Influence of the Roman Law on the
Law of England (Cambridge, Eng. 1885), Holdsworth,
W. S , History of English Law, 10 vols. (3rd ed.
London 1922-32) vol. v; Pollock, Frederick, The Ex-
pansion of the Common Law (London 1904), and The
Genius of the Common Law, Columbia University,
Carpenter Lectures, 1911 (New York 1912), Pound,
Roscoe, Spirit of the Common Law (Boston 1921),
Seagle, William, "The Umbilical Cord" in American
Mercury, vol. m (1924) 318-24, Smith, G. Elliot, and
others, Culture, the Diffusion Controversy (New York
1927) See also the bibliography under LAW.
RECIDIVISM. The problem of recidivism, or
relapse into crime, looms very large in modern
penology. In the United States from 1926 to
1930 recidivism of male prisoners in state and
federal prisons and reformatories increased from
45.1 percent to 55.5 percent and of female
prisoners from 31.8 percent to 32.7 percent. In
England in 1931 the percentage of recidivism
was 69 for males and 72 for females. In Germany
in 1927, 1929 and 1930 the percentages for both
'57
males and females were 29.2, 35 55 and 38.23
respectively. In France in 1926, 35 7 percent of
convicted criminals were recidivists. In Italy in
the same year the percentage was 72. In the
Soviet Union in 1930 it was 61 In Norway and
Denmark it was 47 in 1928 and in Sweden in the
same year 38.6.
Thus a large proportion of the inmates of
penal institutions in most countries are "re-
peaters," persons who have been committed to a
penal institution after having served one or more
terms. While available data do not warrant very
definite conclusions, it appears that larceny and
the related offenses, burglary and robbery, in
the order named, are the most frequent re-
cidivistic crimes Women on the whole are much
less recidivistic than men.
For the entire United States the largest male
group of recidivists in 1929-30 ranged from 18
to 24 years of age and the next largest group
from 25 to 34 In New York state in 1931 the
median age group for adult recidivists was 25
(27 for first offenders) and for youthful recidi-
vists 19 years (20 for first offenders). Of the
youths sentenced to imprisonment in England
m 1931 those 19 and 20 years old had the
greatest number of previous convictions. In
Germany the largest recidivistic group falls be-
tween 30 and 40, the second largest between 25
and 30 and the third largest between 21 and 25
years of age.
The American reformatories, which were
originally established to provide special facilities
for reforming youthful first offenders, evidently
fail of their purpose. In 1929 and 1930 only
149 percent of the males committed to reforma-
tories in the United States were reported as
having no previous known sentence to any penal
institution. In 1931 in the New York State
Reformatory in Elmira, to which may be sent
any youth between the ages of 16 and 25 who
"has not theretofore been convicted of a crime
punishable by imprisonment in a state prison,"
78.6 percent of the inmates had previous crimi-
nal records.
Moreover the statistics are probably an un-
derstatement of the extent of recidivism. There
are a considerable number of prisoners concern-
ing whom no definite report as to previous com-
mitments can be obtained Payment of fine,
suspended sentence or probation for a previous
conviction imposed in place of an institutional
sentence may not be entered on the record of
prior commitments. Furthermore, at least in the
United States, where central identification
I5 8
Encyclopaedia of the Social Sciences
bureaus have been established only recently, the
information, furnished by the inmates, is prob-
ably not altogether reliable. Again, many crimes
are not reported, or if reported the offenders are
not apprehended.
There are also many factors which limit the
comparative value of statistics on recidivism.
Among the most important are differences in the
criminal law as well as in the procedural codes of
the various countries. Thus, for example, liquor
law violations in the United States and drunken-
ness in England account for much recidivism.
Again, one country may make extensive use of
probation while another may impose fines in
most cases. In 1930, for example, two out of
every three convictions in Germany's criminal
courts were disposed of by money fines. In one
country fines may be paid in instalments, in
other countries commitment to a penal institu-
tion follows the non-payment of a fine. In
countries where probation or fines or other non-
institutional types of sentence are employed
recidivism, which is always based upon com-
mitments to penal institutions, would appear to
be less prevalent than in countries where the
first offense resulted in imprisonment. Moreover
in the absence of knowledge of the difference in
the ratios of crimes committed to crimes re-
ported and to criminals apprehended and con-
victed, the significance of recidivism remains
unknown.
Since Lombroso's inauguration of the study
of criminal anthropology some progress has been
made in the identification of recidivistic types.
The wcrk of the "crimmo-biological" labora-
tori^s in Italy, Austria, Germany, Belgium,
Portugal, Spain and the Soviet Union has been
of particular importance in this connection. The
conclusions of Kretschmer, who maintains that
body build is correlated with psychic disposi-
tions and psychoneuroses, although based upon
his study of insane Swabian peasants, have
been applied to recidivists. The Deutsche For-
schungsanstalt fur Psychiatric, which, among
other projects, is engaged under the direction of
Rudm and Viernstem in a most extensive in-
quiry into the relations between psychiatry and
criminology, has made an attempt by means of
the Kraepelmean system to ascertain the degree
of inheritance of psychic anomalies in the fam-
ilies ot recidivists in order to determine which
criminals should be permanently segregated and
which could be rehabilitated.
While on the continent the tendency to seek
for the roots of recidivism in hereditary "traits"
is becoming pronounced, in the United States
under the influence of "functional" psychology
environmental rather than hereditary factors are
increasingly stressed in the attempt to account
for careers of crime. The work of the various
European investigators may be criticized on the
ground that the possible effects of sociological
factors on the lives of the criminals studied have
not been adequately eliminated. Furthermore
the initial assumptions used in the investigations,
namely, the Kraepelmean schematizations or the
Kretschmer body types, may be invalid.
Unfortunately little is known about general
crime causation and less about the causes of
recidivism While the latter are to be sought for
in the causative factors making for crime gener-
ally, there may be special factors which enter
into recidivistic careers.
Conceivably the administration of penal insti-
tutions and the type of offender in the institution
play their part in confirming criminal habits. In
New York state during 1931 of 3415 men
sentenced to correctional institutions 2703, or
80 percent, had known criminal records These
2703 men had been arrested at least 10,766
times, an average of over 3 previous arrests for
eachman. In 1929,79.7 percent of the population
of the Massachusetts State Prison at Churlestown
were recidivists. Approximately one fifth of the
prison population had between 5 and 9 convic-
tions. Of the 2703 individuals 1786 had been
previously confined in institutions. Just what
effect these inmates had on the other 20 percent
and upon one another is not known. The large
percentage of adult state prisons which possess
records of each inmate's commitments in
juvenile correctional institutions reveals that the
institutional treatment did not check careers
of crime and may have been one of the factors
in their continuation.
Inefficiency or corruption in the administra-
tion of criminal law may encourage further
criminal acts. The lack of integrated aftercare to
adjust the discharged prisoner to society upon
his release, especially in times of widespread
unemployment, undoubtedly contributes to the
persistence of property offenses.
While there is no unanimity on the classifica-
tion of criminal types, students agree upon
three general classes of recidivists. There are,
first, the pathological cases, the definitely insane
and mentally defective; second, the "habitual
criminals," the mentally weaker and suggestible,
emotionally unstable characters who drift into
crime because they are unable to cope with the
Recidivism
difficulties of life; and, third, the "professional"
group, the relatively strong characters who de-
liberately choose a life of crime. Among these
groups of recidivists a great number, perhaps
the majority, specialize (special recidivism) in a
particular offense, such as smuggling, burglary,
larceny, arson, robbery, counterfeiting or for-
gery. On the other hand, many recidivists turn
from one type of offense to another (general
recidivism).
In the application of the criminal law re-
cidivism has long been recognized as an aggra-
vating circumstance. In the Roman law and in
the mediaeval German law a second offense led
to an increase of the penalty in the case of cer-
tain enumerated offenses, especially theft. The
Italian criminalists recognized recidivism {con-
suetudo delinquent}', iteratto delicti) as a general
aggravating circumstance; this doctrine was ap-
plied subject to exceptions in the German
common law and under most of the German
codes of the nineteenth century.
During the Middle Ages a second offense was
often ground for extreme punishment, even if
the crime itself was not serious. In England a
statute enacted in 1535 in the reign of Henry
VIII (27 Henry vni, c. 25) provided that for a
second offense of vagabondage "the upper part
of the gristle of his right ear" should be lopped
off, and for a third offense hanging was inflicted.
Recidivism, however, could have only a limited
application when most offenses were visited
with capital punishment.
The Code Napoldon sanctioned capital punish-
ment in the case of recidivists who had com-
mitted a crime punishable by penal servitude for
life. In 1854 France enacted a law whereby
criminals sentenced to penal servitude for terms
of eight years and more were, upon expiration of
their term, forced to reside for life in the colony
of New Caledonia. In 1885 another law decreed
internment for life in a colonial possession even
in the case of the less serious offenses whenever
the number of previous convictions exceeded a
fixed minimum varying with the type of offense.
In France between 1886 and 1900 no fewer than
15,837 habitual criminals were banished for life.
The present German imperial code, despite
the predominant tendency of the earlier regional
codes, recognizes recidivism as a ground for in-
creased severity only for such crimes as theft,
robbery, receiving stolen goods and fraud.
Moreover a statute of limitations runs against
cognizance of the repetition of the offense. The
Italian Penal Code of 1889 increased the severity
of sentence only in cases of special recidivism;
this is no longer true under the new code of
1931, but the punishment is still severer in the
case of special recidivism. England's Habitual
Criminals Act of 1869 (32 & 33 Viet., c. 99) and
Prevention of Crime Act of 1871 (34 & 35 Viet.,
c. 112) gave the police more extended powers of
supervision over discharged prisoners. The
present English Prevention of Crime Act, 1908
(8 Edw. vii, c. 59), gives the courts power to
impose a sentence of preventive detention of
from five to ten years, in addition to the ordinary
penalty, whenever it is shown that the defendant
has been convicted and sentenced to penal
servitude three times since the age of 16.
An almost unparalleled degree of severity has
been adopted toward recidivists in the United
States in recent years Some states had long had
statutes applicable to habitual criminals. The
Baumes law of New York state, enacted in 1926,
was distinguished, however, by its mechanical
cruelty. An earlier New York statute of 1907
had given power to the courts to sentence to life
imprisonment any person convicted of 4 felonies.
The Baumes law now made the sentence man-
datory; the courts were given absolutely no dis-
cretion. In the case of a second offense of
felony, aimed especially at burglary and robbery
in the first degrees, it \\as also made mandatory
for the court to impose not less than the longest
term prescribed upon a first conviction In 1932
as a result of widespread protest against the
hardships of the law the mandatory provisions
were revoked. The example of the Baumes law
has been followed with variations in Oregon,
California, New Jersey, North and South
Dakota, Kansas and Vermont.
Since the middle of the nineteenth century
recidivism has increased in almost all countries.
Although its extent has generally been regarded
as a measure of the failure of penological
methods and viewed with gro\ving alarm, there
have been a few optimists who have taken it as
an indication of an ingrown criminality in a
steadily narrowing criminal class. Thus Garo-
falo, one of the leading positivists, remarks that
it is precisely in the most civilized countries that
the largest amount of recidivism exists.
The classical penologists who have applied
their premises to the full logical extent have
been forced into a position which makes it im-
possible for them to consent to really effective
measures for dealing with recidivists. To be
sure, the classical penologist believes that the
gravity of an offense should be met by a pro-
Encyclopaedk of the Social Sciences
160
portionate severity of punishment, but this
severity must necessarily be confined to the
individual offense. Once the penalty has been
paid the offense has been discharged and must
not be reckoned against the offender. Moral
responsibility cannot be applied upon a cumula-
tive basis. The positivists, on the other hand,
who have achieved a reputation for leniency by
virtue of their recommendation of the indi-
viduahzation of punishment, show themselves
to be much more realistic in their attitude
toward repeated offenders. Regarding punish-
ment merely as a matter of social defense, they
can logically urge the greatest severity toward
repeaters. Since the criterion which determines
the application of measures of social defense is
no longer the kind of crime committed but the
type of social menace manifested, the profes-
sional, habitual and pathological types of re-
cidivists are dealt with as especially dangerous.
As the review of the provisions of the criminal
codes has already made apparent, the measure
of social defense which has received primary
support in legislation is the term of preventive
detention. The discharge of the recidivist from
the institution of prevention should depend
upon whether social dangerousness has ceased
to exist. Penal transportation is still practised in
France, although opinion against it is crystalliz-
ing. On the continent there has been much dis-
cussion concerning the sterilization of recidi-
vists, but little advance in this direction has
been made. Compulsory sterilization for recidi-
vistic sexual offenders has been introduced in
Germany. In the United States California has
enacted a series of sterilization laws since 1909,
which provide for compulsory sterilization of
certain types of recidivists and moral degener-
ates; but only seven vasectomies have been per-
formed in the California state prisons. Similar
laws have been enacted in many other states, but
most of them have been held unconstitutional.
Recently, however, the United States Supreme
Court has declared such laws constitutional.
Without a knowledge of the factors causing re-
cidivism, treatment of prisoners, even when
directed toward their rehabilitation, must re-
mam a matter of trial and error.
NATHANIEL CANTOR
See: PENAL INSTI TUTIONS, IMPRISONMENT, PROBATION
AND PAROLE; COMMUTATION o* SFNTENCK, INDE-
TERMINATE SENTENCF; IDENTIFICATION, CRIMINAL
STATISTICS, PUNISHMENT, CAPITAL PUNISHMENT;
TRANSPORTATION OF CRIMINALS; CRIMINOLOGY;
CRIME.
Consult: Fuld, Ludwig, Das nlckfallige Verbrecher-
thum (Berlin 1885); Sacker, J., Der RUctyall, Uni-
versity of Berlin, Krimmalistisches Institut, Abhand-
lungen, vol iii, no. i (Berlin 1892); Oba, Shigema,
Unverbesserhche Verbrecher und ihre Behandlung (Ber-
lin 1908), Beger, Fritz, Die ruckfalhgen Betniger,
Knminahstische Abhandlungen, no. 7 (Leipsic 1929);
John, Alfred, Die Ruckfallsdiebe, Krimmahstische
Abhandlungen, no. 9 (Leipsic 1929); Schunch,
Joachim, Lebenslaufe vielfach riichfalhger Verbrecher,
Knminahstische Abhandlungen, no. 10 (Leipsic
1930), Schultze, Ernst, Psychiatric und Strafrechts-
reform (Berlin 1922); Tesar, Ottokar, Die symptoma-
tische Bedeutung des verbrechenschen Verhaltens, Uni-
versity of Berlin, Kriminahstisches Institut, Abhand-
lungen, n s , vol. v, no 3 (Beilm 1907); Switzerland,
Zweite Expertenkommission, Vorentwurf zu etnem
schueizenschen Strafgesetzbuch (Lucerne 1916); Liszt,
Franz von, Lehrbuch des deutschen Strafrechts (25th ed.
Berlin 1927) p. 21-22, 346, 400, 412-14, Remach,
Joseph, Les recidivist es (Pans 1882), Andre", Louis, La
recidive (Paris 1892), Donnedieu de Vabres, H , La
justice pinole d'aujourd'hui (Pans 1929), Matteotti,
Giacomo, La recidiva (Turin 1910), Aschaffenburg,
Gustav, Das Verbrechen und seine Bekampfung (3rd
ed. Heidelberg 1923), ti. by Adalbert Albrecht, Mod-
ern Criminal Science series (Boston 1913), Garofalo,
Raffaele, Cnminologia (and ed. Turin 1891), tr. from
the 5th French ed. by R. W. Millar, Modern
Criminal Science series, vol. \n (Boston 1914), es-
pecially p 209-13, 325-29, 409-10, Fern, Enrico,
La socioloqia cnmtnale, 2 vols (5th ed. by Arturo
Santoro, Turin 1929-30), tr from the 2nd French ed.
by Joseph I. Kelly and John Lisle, and ed by W. W.
Smithers, Modern Criminal Science series, vol. ix
(Boston 1917) pt i, ch. in, Drahms, August, The
Criminal (New York 1900) p. 22038, Ilealy, William,
The Individual Delinquent (Boston 1915), and "Youth-
ful Offenders," m collaboration with A. F Bronner, m
American Journal of Sauology, vol. xxn (191617)
38-52; Murchison, C A , Criminal Intelligence (Wor-
cester, Mass. 1926) chs vi, xvui, xxni, Fernald, M.
R , Hayes, M. H. S , and Dawley, A , A Study of
Women Delinquents tn New York State, Bureau of
Social Hygiene, Publications (New York 1920), Root,
W T , A Psychological and Educational Survey of I pi 6
Prisoners in the Western Penitentiary of Pennsylvania
(Pittsburgh 1927), Glueck, S. S. and E. T., 500
Criminal Careers (New York 1930); Monachesi, E.
D., Prediction Factors in Probation (Hanover, N. H.
1932), The liaumes Law, compiled by J. E. Johnsen
(New York 1929), Knowles, C. M., "The Problem of
the Old Offender" in Police Journal, vol. iv (1931)
506-21.
RECIPROCITY See COMMERCIAL TREATIES.
RECLAMATION. In nearly every country of
the globe reclamation of land has been a major
factor in the advance of civilization. Although
widely divergent in processes, standards and
results it has everywhere had in view increase in
land resources and therefore enlargement of
the opportunities for the people to gain a live-
lihood from the soil. In every country it has
Recidivism Reclamation
161
been recognized as promoting the state or na-
tional welfare.
Perhaps the best technical definition of recla-
mation is that it consists of "the operations and
process of bringing to a high grade of usefulness
in crop production lands which at the inception
of the undertaking are either in an unproductive
state or are of inferior or limited capacity to
produce." Projected to its full meaning this
definition would include establishment on the
land of "a full complement of adequate farm
homes and well-planned farmsteads, with the
ownership on a secure financial and economic
basis." This represents the most advanced aim
of reclamation in the modern world and in some
countries is being carried through, from con-
struction of the necessary works to organi/ed
development or settlement of the land, by the
agency undertaking the reclamation. In New
South Wales, Australia, for example, the Mur-
rumbidgee irrigation project included not only
a storage dam, a movable diversion weir, a main
canal, branch canals, subsidiary distributing
channels, bridges, checks, regulators and the like
but also the laying out of towns and villages
and a complete system of roadways In addi-
tion, provision was made for a general surface
drainage system.
More generally, however, reclamation is con-
sidered as comprehending only the actual land
improvement or the construction of the physical
works required to make the land productive. In
such cases the various subsequent steps in the
process, such as obtaining, financing and ad-
vising settlers and developing cropping pro-
grams, may be unrelatedly carried out and
motivated by perhaps different purposes. The
benefits of reclamation may be state or country
wide or merely local or individual.
Reclamation may involve merely the improve-
ment of lands requiring some degree of meliora-
tion to make them fully useful. The lands may
be too wet for satisfactory cultivation and there-
fore, prior to reclamation, of marginal or sub-
marginal utility or even entirely waste In such
cases the chief need is for drainage. Large areas
in humid countries have been subjected to this
type of reclamation, notably in England, Ger-
many, France and Italy; similar projects have
been carried out in the upper Mississippi valley
and the Great Lakes regions of the United States.
Another category would cover reclamation of
swamps, which before improvement have prac-
tically no human value. Examples can be found
throughout the world. Still another category is
made up of the clearing of cut over lands, as in
portions of the south, the northern lake states
and the Pacific northwest of the United States.
Then there is reclamation by drainage, washing
and soil correction, singly or m combination, of
the vast alkali areas distributed throughout the
arid and semi-arid portions of the earth. Finally,
one of the most impressive kinds of reclamation
involving unwatering is the recovery on an ex-
tensive scale of lands from the sea, as in the
fens of eastern England and the Zuider Zee of
Holland.
While available data do not warrant an ap-
proximation of the world area in the above
categories already reclaimed, they indicate that
it is very large; in the United States over 70,-
000,000 acres have been reclaimed by drainage
alone Furthermore there are still extensi\ e areas
which require reclamation by some form of
unwatering, and the economic and social effect
of making these lands valuable for agriculture
would be far reaching. It is, however, in irriga-
tion, which now extends to some 200,000,000
acres throughout the world, that reclamation as
an economic and social institution is most fully
exemplified. This is largely because of the wider
and more complex human relationships involved
in irrigation and because the problems con-
nected with the ownership, distribution and use
of water far transcend those concerned vuth the
construction of physical works. For any specific
reclamation by irrigation rights to water must
be acquired and defended in the courts where
public administration fails to provide security;
rules and regulations insuring equitable appor-
tionment and prompt delivery of the water must
be set up and enforced; there must be manage-
ment capable of forestalling or adjusting differ-
ences with or between water users; there must
be effective cooperation between landowners.
In the modern world, as was the case in
earlier times, governments are concerned with
reclamation on an extensive scale. Financial aid
ranges from bearing the entire cost of compre-
hensive works of reclamation to subsidizing
individuals by meeting part of the cost of land
improvement. Government participation in rec-
lamation is not confined, however, to direct
financial aid. Even where governments do not
extend such assistance they are concerned \\ ith
investigating opportunities for and the best
means of carrying out reclamation, with the
framing and administration of reclamation laws,
with land settlement projects, with the types
and practises of agriculture to be adopted and
Encyclopaedia of the Social Sciences
162
finally with the social and cultural factors of
reclamation. Principles of ownership of water
have to be established and laws enacted which
carry these principles into effect No more diffi-
cult legislative and judicial problems have con-
fronted the governments and legal tribunals of
the world than the framing and interpretation
of laws to govern the acquisition and adminis-
tration of water lights state, interstate and
international In countries of recurring droughts
and famines and teeming populations, such as
India and China, no graver responsibility has
been forced upon those charged with state
affairs than the creation of opportunities for
living through reclamation of waste lands and
increasing the available water supply for irriga-
tion. In such cases the measure of government
aid required is the number of persons dependent
upon the products of the reclaimed land.
More generally, however, the reclamation
problems of governments relate to the normal
development of resources. The impelling motive
is thus more likely to be one of the following:
building up of the national position in the matter
of agricultural production; provision of land for
an increasing population; assistance to private
landowners or cultivators to carry out needed
improvements; breaking up of large landed
estates in the interest of closer settlement;
strengthening and sometimes rehabitation of
community reclamation enterprises; opening up
of unused public lands for settlement; pushing
out of the frontier, particularly in newer coun-
tries Claims in justification of government aid
are sometimes based on the principle that part
of the wealth resulting from exploitation of the
nation's natural resources lying in areas sus-
ceptible of reclamation should in all justice be
devoted to the material upbuilding of those
areas.
In the United States the Bureau of Reclama-
tion of the Department of the Interior builds
and in some cases operates federal reclamation
projects in the seventeen western states, the
entire cost being repayable by the water users,
without interest, now usually within forty years.
Generally only the larger and costlier projects
which cannot be financed except through gov-
ernment aid are undertaken by public authority.
From the passage of the Reclamation Act of
1902 to the end of the fiscal year 1930-31 the
Bureau of Reclamation has spent for surveys,
construction, operation and maintenance $263,-
400,000 in the development of thirty-four proj-
ects. In 1930 the area irrigated with water from
government works was 2,790,856 acres. The
greatest of these schemes is the Boulder Canyon
project on the Colorado River, begun in 1930
and to be built at a cost of $165 ,000,000 The
waters of the reservoir will reach in excess of
i ,000,000 acres of irrigable land.
In Canada dominion assistance covers only
research, supervision and settlement. Through
the National Commission of Irrigation the gov-
ernment of Mexico has built a number of irri-
gation projects and others are under considera-
tion; payments for reclaimed land do not always
entirely reimburse the government for its invest-
ment In France government grants are made
to farmers' societies and to commercial irrigation
companies, generally up to one third of the cost'
and in some cases the government has guaran-
teed interest on the bonds of the commercial
companies Subsidies are also granted for drain-
age and protective works, and substantial sums
are appropriated for research. In Italy the gov-
ernment either builds the more important rec-
lamation works or guarantees the financing pro-
grams of associations or consortia of landowners.
In order to stimulate activities of the latter type
in 1928 a royal decree authorized the formation
of the Association of Land Improvement and
Irrigation Consortia and this body proceeded
to make arrangements with the larger credit and
thrift organizations for a credit of 5,000,000,000
lire The sum was to be made available m ten
equal annual instalments In the past the Italian
government has also made large expenditures
in acquiring and extending irrigation projects
initiated under private auspices, notably in the
valley of the Po In Egypt with a few exceptions
all dams, barrages and main canals are built at
government expense and are under government
control. In India all important irrigation works
are planned, constructed and maintained by the
government and financed with provincial or
imperial funds. The income goes entirely to the
government and some of the works return a
large profit. Works to protect districts from crop
failure and famine are not intended to be finan-
cially remunerative, while loans are made to
private landowners and cultivators for land im-
provements In Australia the states in which
irrigation is important devote much attention to
construction of irrigation works and closer set-
tlement In Victoria and New South Wales,
which have the largest irrigated areas, important
works are built at state expense, the cost being
repaid over long periods at low rates of interest.
In several countries taxes are remitted on reel?
Reclamation
mation works or on land reclaimed by individ-
uals. These examples of government aid, while
by no means complete, illustrate the nature of
the procedure.
Important as is the part of governments in rec-
lamation, private commercial companies, com-
munities operating through irrigation, drainage
or reclamation districts and cooperative associa-
tions and individuals, all are concerned with it
to a large extent. In the older countries the
cooperative community associations are numer-
ous and of long standing and many have been
developed to a high degree of efficiency. In the
United States the district form is most impor-
tant. The district (partaking of the character-
istics of a public or quasi- municipal corporation)
nearly always has the authority to finance
through bonds as well as the right to levy assess-
ments or taxes. In the United States cooperative
irrigation companies are usually those whose
capital has been subscribed in cash or labor by
the shareholders. The so-called mutual irriga-
tion company generally originates as a subsidi-
ary of a land development company and m time
passes over to control of the land buyers. On
some of the United States government reclama-
tion projects water users' associations represent
the landowners when dealing with the govern-
ment and eventually take over maintenance and
operation. Commercial irrigation companies fur-
nishing water for irrigation were at one time
an important factor in the United States but are
decreasingly relied upon. An additional type of
private irrigation enterprise in the United States
is the Carey Act project, under which private
capital constructs irrigation works on public
lands ceded to the states by the federal gov-
ernment.
CHANGE
(in per-
1930
1920 centagc)
Individual and part-
nership
6,410,581
6,848,807 -6 4
Cooperative
6,271,334
6,581,400 -47
Irrigation district
3,452,275
1,822,887 89 4
Carey Act
86,772
523,929 -83 4
Commercial
1,230,763
1,822,001 -324
United States Indian
Service
331.840
284,551 166
United States Bureau
of Reclamation*
1,485,028
1,254,569 18 4
Others
278,951
53,572 420.6
Total
19,547,544 19,191,716 i 9
* Does not include other lands partly served by government
works. The outside areas thus partly served m ipap totaled
1,234,210 acres, in 1910, 900,000 acres
Source United States Department of Commerce, Bureau of
the Census, Fifteenth Census of the United States, igu>. Irn-
gakan, Summary for the Untied States, IQXQ and 1930 (193 J) p 3.
The accompanying table indicates the extent
in acres of irrigated areas in the nineteen irriga-
tion states of the United States (Arizona, Ar-
kansas, California, Colorado, Idaho, Kansas,
Louisiana, Montana, Nebraska, Nevada, New
Mexico, North Dakota, Oklahoma, Oregon,
South Dakota, Texas, Utah, Washington, Wyo-
ming) served by the various types of agencies
above mentioned.
Economic feasibility is one of the fundamental
considerations in reclamation, especially as costs
have mounted. While large numbers of projects
have been highly or moderately successful, both
financially and agriculturally, losses have been
incurred in all types and in all countries. De-
layed settlement of the reclaimed land has been
the most frequent cause of difficulty in such
countries as the United States, Australia and
the Union of South Africa. Other causes of dis-
tress or loss include excessive costs, unsound
financing, conflicts over water rights, engineer-
ing mistakes, poor soil or changing market con-
ditions for the crops grown. Losses resulting in
abandonment of works are rare.
In recent years in the United States, most
notably in the great Boulder Canyon project,
economic feasibility has been dependent fre-
quently upon the supplemental income from
hydroelectric power generated as a by-product.
On the other hand, some reclamation project*
from which the combined income from agricul-
ture and hydroelectric power is not likely to be
sufficient to return the capital investment are
being seriously contemplated in the United
States This involves the question as to how
much of their equitable share of the cost will be
borne by the industries or non-agricultural in-
terests which will be directly or indirectly bene-
fited by the reclamation; or, as an alternative, if
the works are to be built, whether increased
government subsidies, which mean some redis-
tribution of wealth, are to be provided. This is
perhaps one of the most important of the social
aspects of modern reclamation, especially m
countries like the United States, where the de-
sire for development rather than the land and
food needs of the population is the main motive
for reclamation.
Because of its effect in extending the usable
land resources and as a result of its influence
on the movement and distribution of popula-
tions, on the growth of industry and commerce
in the arid and semi-arid regions, on the food
supply and on the general material and human
welfare of many countries reclamation will a)-
164
Encyclopaedia of the Social Sciences
ways stand out as a basic activity of the govern-
ments and peoples of the world, and the best
statesmanship will always be demanded for the
solution of its problems. As has been shown,
these problems, especially in reclamation by
irrigation, go far beyond the building of physical
works. While individual work will continue in
importance, it has been shown through centuries
of experience in older countries as well as shorter
experience in the Americas, Australia and the
Union of South Africa that the great tasks of
reclamation can be accomplished only through
the cooperation of a large number of people,
requiring in many instances substantial partici-
pation by governments. Reclamation then may
be expected increasingly to take on the aspects
of a national public question, especially when
the chief argument advanced in its favor is not
addition to the food supply but the encourage-
ment of community building.
FRANK ADAMS
See. IRRIGATION, FLOODS AND FLOOD CONTROL; LAND
SETTLEMENT, AGRICULTURE, GOVERNMFNT SERVICES
FOR; CONSERVATION, COMPACTS, INIFRSIATII, WATER
LAW.
Consult Teele, R P , The Economics of Land Reclama-
tion in the United States (Chicago 1927), and "Land
Reclamation Policies in the United States," United
States, Department of Agriculture, Department Bulle-
tin, no 1257 (1924); United States, Bureau of Recla-
mation, Economic Problems of Reclamation, by Alvin
Johnson and E C. Eianson (1929), Lampen, Dorothy,
Economic and Social Aspects of Federal Reclamation,
Johns Hopkmb University, Studies in Historical and
Political Science, 481)1 ser., no. i (Baltimore 1930);
United States, Bureau of Reclamation, Federal Recla-
mation, What It Should Include, by Elwood Mead
(1926), Hutchms, W A., "Mutual Irrigation Com-
panies," "Commercial Irrigation Companies," and
"Irrigation Dibtncts, Their Organization, Operation
and Financing," United States, Department of Agri-
culture, Technical Bulletin, no 82 (1929), no 177
(1930), and no 254 (1931), United States, Bureau of
Reclamation, Report of an Economic Survey of Certain
Federal and Private Irrigation Projects 1929 (1930);
Engineering News-Record, A Survey of Reclamation,
How the Great Government Adventure in Irrigation of
the And West Came into Being and What It Has
Accomplished (New York 1923); Davis, A. P , Irriga-
tion Works Constructed by the United States Govern-
ment (New York 1917), United States, Bureau of
Foreign and Domestic Commerce, "Foreign Markets
for Irrigation Machinery and Equipment," Trade
Promotion Series, no. 73 (1929); Gray, E. D. McQ ,
Government Reclamation Work in Foreign Countne*
(Washington 1909), United States, Congress, House
of Representatives, Committee on Irrigation and Rec-
lamation, 68th Cong , znd sess., Irrigation and Recla-
mation Laws, etc of Australia, Canada, Great Britain,
India and South Africa, by Carl L. W. Meyer (1925);
Hall, W H , Irrigation Development, History, Customs,
Laws and Administrative Systems Relating to Irriga-
tions, Water-Courses and Waters in France, Italy, and
Spain (Sacramento 1886), "The General Scheme of
Land Improvement in Italy" in International Review
of Agriculture, vol. xx, pt n (1929) 167-72; Mead,
Elwood, Irrigation Institutions (New York 1903);
Thomas, George, The Development of Institutions
under Irrigation (New York 1920) For more general
references see International Engineering Congress,
1915, Transactions, vol 11 (San Francisco 1916), Pan-
Pacific Conference of Education, Rehabilitation, Rec-
lamation and Recreation, ist, Honolulu 1927, Report
of the Proceedings (Washington 1927) p. 187-364;
World Engineering Congress, Tokyo, 1929, Proceed-
ings, vols. xi-xn (Tokyo 1931), United States, Bureau
of Reclamation, Reclamation Record, published from
May, 1908, to February, 1924, and New Reclamation
Era, published monthly since March, 1924.
RECLUS, JACQUES ELISEE (1830-1905),
French geographer and anarchist. Originally
trained for the Protestant ministry, Reclus soon
turned to the study of geography and affiliated
himself with the revolutionary movement. He
was> exiled after the coup d'etat of 1851 but in
1857 returned to France, where he remained
until he was again banished after the fall of the
Pans Commune in 1871. He lived for many
years in Switzerland, later in close association
with Kropotkin. From 1894 to 1905 he served
as professor of comparative geography at the
Universite Nouvelle in Brussels, where he estab-
lished a geographical institute.
Reclus' geographical work, written in the tra-
dition of Ritter and Humboldt, is centered in
his comprehensive works La terre (2 vols., Pans
1867-69; tr. by B. B. Woodward, New York
1871), Nouvelle geographic universelle (19 vols.,
Paris 1876-94; tr. and ed. by E. Ravenstein and
A. H. Keane, London 1878-94) and Uhomme
et la terre (6 vols., Pans 1905-08; new ed. by
Paul Reclus, G. Goujon and others, 3 vols.,
1931), which describe physical milieu and phe-
nomena, the distribution of mankind and the
history of human institutions and their inter-
relations. He worked with his brother Elie, who
is best known for his Les primittfs, Etudes d' eth-
nologic comparee (Paris 1885; English translation,
London 1891).
As early as 1851 Reclus concluded that an-
archy, or the absence of government, was la plus
haute expression de I'ordre. His anarchistic views
found their fullest expression in L'foolution, la
revolution et Vidfal anarchique (Paris 1897). He
believed that human progress develops higher
forms of freedom and solidarity, voluntary co-
operation and free or communist-anarchist types
of distribution; to initiate the coming anarchy
resolute and courageeus elimination of such
Reclamation Recognition, International
obstacles as authority and obedience, monopoly
and misery, is imperative. He was a militant
member of Bakunin's secret international broth-
erhood and of other anarchist and republican
groups, but was never a party man or a fanatic.
A person of engaging charm and one who always
preserved his own independence in the contro-
versies of the diverse anarchist schools, Reclus
exercised wide influence in anarchist circles
throughout the world.
MAX NETTLAU
Works Correspondance, 3 vols (Pans 1911-25)
Consult Ehsee and Ehe Ret I us, In Memonaw, ed by
Joseph Ishill (Berkeley Heights, N J 1927), Nettlau,
M , Ehste Reclus, Anarchist und Gelehrter, Beitra^e
zur Geschichte des So/iahsmus, Syndikahsmus, Anar-
chismus, vol. iv (Berlin 1928), enlarged Spanish edi-
tion ab Eliseo Redus La znJa dc un sabwjutto y rebelde,
2 vols (Barcelona 1929), Kropotkin, P , in Geographi-
cal Journal, \ol xxvi (1905) 337-43.
RECOGNITION, INTERNATIONAL. Rec-
ognition, "the assurance given to a new state
that it will be permitted to hold its place or
rank, in the character of an independent political
organism, in the society of nations" (Moore,
J B , Digest of International Law, vol i, p. 72),
is a recent concept in international law. If the
principles of independence and equality of states
formed an early theoretical basis for the doctrine
of recognition, the identification of sovereignty
and personality prevented its appearance until
a later date. From this identification arose the
theory of legitimacy, which was principally re-
sponsible for the lack of a doctrine of recogni-
tion. This theory is seen first as one which
upheld the hereditary right of a dynasty against
any rival claimants. Transformed later into a
theory which posited the better right of mo-
narchic government as compared with other
forms, it became eventually an assertion of the
legitimacy of the existing government. It is in
this latter sense that it appears "as a counter-
theory to the doctrine of recognition." It was
not until the concept of sovereignty was divorced
from personality, until the idea of popular sov-
ereignty had made some headway, that there
was any need or justification for recognition.
Today legitimacy has been reincarnated in the
form of the better legal right of the existing
government and stands in conflict with de-
factoism, which insists that a break in the legal
order may be healed by "the normative power
of facts and the transformance into political
reality of abstract legal principles." But in both
cases there is a necessary emphasis upon the
de facto existence of the government, the legiti-
mist contending that an immutable legal char-
acter has been bestowed upon the de facto
regime and the defactoist maintaining that a
new set of facts over a period of time bestows
a truly legal character upon the new political
organism. In short, the line of demarcation be-
tween defactoism and legitimacy must in the
final analysis be a relative one.
Although recognition does not bring into ex-
istence a new state and although a state possesses
the attributes of sovereignty independently of
recognition, the state is assured of exercising
these attributes only after recognition. Recogni-
tion may be either tacit or express and either
conditional or unconditional. It is absolute and
irrevocable, although the recognized state may
refuse to accept it To be definitively effective
recognition must be granted by a government
which is itself recognized. No state is legally
bound to accord recognition, although there
may be a moral obligation to do so Recognition
may be granted by a state acting alone or by a
group of states acting in unison. Examples of
the latter are the recognition of certain Balkan
states in 1878 and of Belgium in 1831. While
there arc no absolute rules governing the recog-
nition of new states, the new political com-
munity must at least possess the essential char-
acteristics of a state. Premature recognition,
granted while a bona fide contest between a
parent state and belligerent insurgents is still
in progress, constitutes an act of intervention,
which may possibly lead to war. As the term is
used here, the recognition of belligerency and
insurgency is excluded from consideration (see
BELLIGERENCY; INSURRECTION).
In international law states have a continuing
personality which is not affected by changes in
their governments. The duties of the state are
not altered by internal political changes, which
represent breaches in constitutional law alone
and not breaks m the "legal continuity of inter-
national relationships." For this reason the rec-
ognition of a new state may be considered as an
act of deep legal significance, whereas the recog-
nition of a new government may be regarded as
a question of policy. In both cases, however, it is
the political organism of the state with which
the recognizing powers must deal, and the same
methods of recognition are applicable.
The methods of according recognition are
varied. It may be granted by a formal declaration
in a separate and independent document or by
carrying on such negotiations or entering into
Encyclopaedia of the Social Sciences
166
such relations as exist only between independent
states. Diplomatic intercourse and treaty nego-
tiations may be conducted in such a way as to
result in recognition. The dispatch of an accred-
ited representative, the reception of accredited
diplomatic agents or the issuance of an exequa-
tur to a consul would have this effect. However,
the mere conclusion of a treaty between the
recognized and the recogni/mg state or the sign-
ing of a collective treaty between the recogni/ed
state and the recognizing states does not neces-
sarily mean complete recognition. Two govern-
ments, one of which does not desire to recognize
the other, could nevertheless regulate certain
matters by treaty. And after the conclusion of a
multipartite treaty it need not be said that each
of the signatory governments recognizes each
other government except for the purposes for
which the treaty was concluded. The United
States, by adhering to the Paris Peace Pact of
10,28 along with Russia, did not recognize the
Union of Soviet Socialist Republics except for
the one purpose involved. It follows that mere
admission to an international congress would
not constitute a general recognition. Further the
holding of certain kinds of intercouise with a
foreign government, as with the agents of a
revolutionary body, does not necessarily signify
the according of recognition. The nature of the
act, the circumstances and the intention of the
recognizing state must all be considered.
The recognition of a new state or government
is generally regarded as an act of the executive.
Although it has been asserted from time to time
in the United States that a concurrent power of
recognition or a voice in the granting of recog-
nition is vested in Congress (see Resolution of
the Committee on Foreign Affairs of the House
on Dec. 15, 1864), the power of the president
has been exercised, as it could be, in an almost
exclusive fashion. Some of the methods of
according recognition are completely in his con-
trol, ^nd the extent to which Congress or the
Senate plays a part depends in the last analysis
upon the methods employed and considerations
of expediency.
To Thomas Jefferson, the first secretary of
state in the United States, may be attributed the
institution of the concept of recognition in inter-
national law. If his theories of popular sover-
eignty and the right of revolution formed a
necessary predicate for the inception of recogni-
tion, the fact that Jefferson was in a position to
give his ideas practical application makes him a
significant figure in the origin of the recognition
concept. As early as 1792 political changes in
France necessitated the formulation of an Amer-
ican policy; and Gouverneur Morns, minister
of the United States to France, was accordingly
instructed that "it accords with our principles
to acknowledge any government to be rightful
which is formed by the will of the nation sub-
stantially declared." Later pronouncements were
phrased in similar language, and their applica-
tion has given rise to the view that Jefferson's
was a policy of pure defactoism; indeed, with
the exception of two periods in American his-
tory, it has been traditional to characterize the
entire American policy as being one of de facto
recognition. The two exceptional periods were
from 1 86 1 to 1869 and from the inauguration
of Woodrow Wilson in 1913 almost to the pres-
ent time Dui ing these years the United States
is said to have reverted to the principles of
legitimacy and by the positing of certain re-
quirements to have reapphed the old doctrine
through an insistence upon "constitutional gov-
ernment " Even if the tenuous line which
divides defactoism and legitimacy be ignored, it
cannot be held that the recognition policy of the
United States has ever been characterized by
the application of principles of pure defactoism.
It has been rather a policy marked by an in-
sistence upon the popular support of the gov-
ernment in the state, a support or approval
which has been satisfactorily evidenced at times
by mere de facto control and at other times,
when special reasons presented themselves, by
the requirement of more formal evidence, such
as is afforded by plebiscites or constitutional
conventions. Consequently the insistence upon
the present and the future stability of the gov-
ernment to be recognized as one of the criteria
for granting recognition was from the beginning
and has remained incidental to the requirement
of popular sanction. A demand for popular
acquiescence might have been expected from a
government of revolutionary origins, presum-
ably based upon the "consent of the governed"
and possessing a missionary zeal to further the
establishment of republican governments in a
period when they were the exception rather than
the rule. Secretary Stimson's reestablishment of
the "sensible practice of our forefathers" rep-
resented then no fundamental break with the
policies of his predecessors.
The second of the criteria for according rec-
ognition which find expression in communica-
tions from the Department of State is the ability
and willingness to fulfil international oblig?.
Recognition, International
tions. Although probably implied from the be-
ginning, this requirement did not find formal
announcement until the annual message of
President Hayes on December 3, 1877. As the
interests of the United States in foreign states
have expanded, greater and greater emphasis has
been placed upon the second of these criteria.
At the same time the "international obliga-
tions" have been colored by American self-
interest and since 1900 have offered ample
opportunities for the fulfilment of conditions or
the granting of privileges as prerequisites for
recognition In 1904 recognition was secured by
the Morales regime m Santo Domingo at the
price of acquiescence in all of the engagements
previously entered into between the Dominican
Republic and the American legation. Recogni-
tion of the Obregon government m Mexico was
delayed from November, 1921, to August 31,
1923, because Obregon refused to sign a treaty
drafted by the State Department and containing
stipulations for the safeguarding of "American
property rights in Mexico." Hasty recognition
of new states and governments, as in the case of
Panama m 1903, has been a factor in their pres-
ervation; and the non- recognition of de facto
governments, as m the case of Huerta in Mexico
in 1913-14, has been a factor in their downfall.
When so exercised the power of recognition
comes to have a constitutive form which, at least
in the case of Latin American states, has a vital
effect upon their political vagaries.
Two recent cases of the failure to recognize
new states or new governments are those involv-
ing the Union of Soviet Socialist Republics and
Manchukuo. President Wilson's refusal to rec-
ognize the Soviet government was not altered
during the administrations of Presidents Hard-
ing, Coolidge or Hoover. Secretary Hughes'
insistence in 1923 that the United States would
not recognize the Soviet government until it
"acknowledged its liability for the debts con-
tracted by previous governments of Russia,"
agreed "to make restitution to American citizens
whose property was confiscated" and "ceased
its revolutionary activity in the United States"
represented the reasons officially given, and sub-
sequently repeated, for its failure to act. After
the inauguration of President Roosevelt m 1933,
however, this policy was reversed, and the
United States followed the precedents set previ-
ously by all of the world powers m recognizing
the Soviet Union.
The formal declaration of independence from
China of Manchuria and Inner Mongolia on
February 18, 1932, followed a public statement
by Secretary Stimson on January 7 to the effect
that the United States "does not intend to rec-
ognize any situation, treaty or agreement which
may be brought about by means contrary to the
covenants and obligations of the Pact of Pans
of August 27, 1928, to which treaty both China
and Japan, as well as the United States, are
parties." The formal request on March 14 of
the new state of Manchukuo for recognition was
ignored by the United States. The assertion in
the report of the Lytton Commission that the
recognition of the new regime in Manchukuo
would not be "compatible with the fundamental
principle of existing international obligations"
is apparently accepted by the Department of
State of the United States.
Such concerted international action in refus-
ing to recognize a new state is hailed in some
quarters as a new instrument of international
law. Professor Quincy Wright has declared that
if these principles "were really made effective,
international law would be revolutionized. Vio-
lence and war would cease to have value in
advancing the legal position of states." Critics
of this so-called doctrine of non- recognition
assert, however, that mere refusal of recognition
is unlikely to accomplish its ends and may result
in positive harm by encouraging China to
attempt to recover her lost territory by force
and by generally weakening confidence in the
preventive value of peace machinery.
Within recent years some efforts have been
made to standardize the rules governing recog-
nition. The International Commission of Ameri-
can Jurists, which met at Rio de Janeiro m 1927,
recommended that recognition be granted only
when certain stipulated conditions had been
met. In the future, however, little uniformity of
action may be expected in the matter of accord-
ing recognition, even should there be an accept-
ance of general principles.
TAYLOR COLE
See: STATE SUCCESSION; DE FACTO GOVERNMENT;
REVOLUTION AND COUNTER-REVOLUTION; RUSSIAN
REVOLUTION; SANCTION, INTERNATIONAL; BELLIGER-
ENCY, CIVIL WAR, INSURRECTION.
Consult: Hall, W. E , A Treatise on International Law
(8th ed. by A. P. Higgms, Oxford 1924) p. 103-14;
Hershey, A. S , The Essentials of International Public
Law and Organization (rev. ed. New York 1927) ch.
viu, Hyde, C. C , International Law Chiefly as Inter-
preted and Applied by the United States, 2 vols. (Bos-
ton 1922) vol. i, p. 56-77; Oppenheim, L. F. L ,
International Law; a Treatise, ed. by A. D. McNair,
2 vols. (4th ed. London 1926-28) vol. i, p. 142-58;
Wilson, G. G., Handbook of International Law (and
Encyclopaedia of the Social Sciences
168
ed. St Paul, Minn 1927) p. 18-23, Ilervey, J. G.,
The Legal Effects of Recognition in International Law
(Philadelphia 1928); Hudson, M. O , "Recognition
and Multipartite Treaties" in American Journal of
International Law, \ol x\m (1929) 126 32, Potter,
P 13 , "The Natuie of American Foreign Polity" in
American Journal of International Law, vol xxi (1927)
53-78, Dennis, Lawrence, "Revolution, Recognition
and Intervention" in Foreign Affatrs, vol. ix (193 1)
204-21, Goehel, J. L , The Recognition Policy of the
United States, Columbia University, Studies in His,-
tory, Economics and Public Lav,, no 158 (New
York 1 915), Cole, Taylor, The Recognition Policy of
the United States since 1901 (Baton Rouge 1928);
Tansill, C C , "War Powers of the President of the
United States" in Political Science Quarterly, vol xlv
(1930) 1-55, Houghton, N D , Policy of the United
States and Other Natwni with Respect to the Recogni-
tion of the Russian Swnet Government, icjif-i^Q,
International Conciliation, no. 247 (Worcester, Mass.
1929).
RECONSTRUCTION. Shortly before his
death Abraham Lincoln inaugurated a program
for the speedy restoration of the southern states;
this program was based upon the belief that
leniency and fair treatment of the defeated foe
would most effectively reestablish "the proper
practical relations" of the union and secure to
the Negro the rights necessary to his develop-
ment. Under this policy any seceded state or
portion of a state was to resume its place in the
union whenever one tenth of the voters who
were eligible m 1860 and who had taken the
oath of loyalty should set up a government; by
April, 1865, such governments were functioning
in Tennessee, Louisiana and Arkansas, while a
loyal rump group had been recognized in
Virginia. In his organization of these govern-
ments, in the Hampton Roads Conference, in
his second inaugural and in a carefully prepared
speech made three days before his assassination
Lincoln gave abundant evidence of his desire for
the prompt reconstitution of the seceded states.
Andrew Johnson has been unjustly blamed
for the failure of the moderate program of
restoration. The Radical Republicans attacked
his policy by calumniating him, and so success-
ful were they that only a caricature of him has
been handed down to posterity. The fact is that
Johnson had more than average abilities, high
devotion to duty and to the union, perseverance,
industry, integrity, indomitable courage, and an
almost religious faith in democracy and the good
judgment of the masses. In a day when passions
ran high he had the understanding and calm
judgment to formulate and pursue unwaveringly
a southern policy that posterity generally re-
gards as wise. His greatest weakness was the fact
that he was an outsider who did not understand
northern opinion. He did not hold the reins of
power m the dominant party; indeed he was
not even a member. Aligned against him were
all the men in the Republican ranks who had
attacked Lincoln bitterly, even during the war.
Lincoln would have had great advantages of
personality and experience that Johnson lacked,
but it must not be forgotten that the same forces
which ruined Johnson might have destroyed
Lincoln, had he lived.
In pursuit of the principles laid down by
Lincoln, Johnson on May 29, 1865, announced
his program in two proclamations. The first
granted amnesty with restoration of property,
except slaves, to all but fourteen excepted
classes of former Confederates, conditional upon
their taking an oath of future loyalty. To indi-
viduals excepted from amnesty he issued par-
dons freely when they were asked In the second
proclamation, soon followed by others for vari-
ous states, he appointed a provisional governor
for North Carolina and turned over to those of
the voters of 1860 who had taken the oath full
power to reestablish a loyal government and
normal relations in the union. Johnson refused
to permit unpardoned rebels to vote or to hold
office. He made three positive demands- repeal
of the secession ordinances, ratification of the
Thirteenth Amendment, and repudiation of
rebel debts, Confederate and state. He urged the
states to protect the civil rights of Negroes and
would have favored limited Negro suffrage, but
refused to impose these measures upon states
against their will. His provisional governors were
wisely chosen and he himself worked tirelessly
and patiently under extraordinary difficulties to
restore the southern states and to insure their
future loyalty.
Southern society was chaotic. The whole
social and economic order had collapsed. A war
for which many of its leaders had been eager had
left the South impoverished and exhausted,
with its means of production destroyed. In this
condition it had to make social and economic
adjustment to a new order. It was torn by dis-
sension between its moderate leaders, who
wished to accept defeat and emancipation and
adjust themselves as speedily as possible to
existing conditions, and extremists, who, un-
willing to face the consequences of defeat,
sought to restore the old order in defiance of
northern opinion and grim reality. Many states
elected their old leaders to office, often before
they were pardoned. This was human and un-
Recognition, International Reconstruction 169
derstandable but patently unwise. Extremists
opposed repeal of secession ordinances already
nullified by the inexorable verdict of war. They
objected to repudiating their Confederate debts.
They enacted "Black Codes" which looked like
reenslavement of Negroes. These codes, like
many other impolitic acts, resulted in part from
stubborn effort to restore the status quo ante, in
part from an honest effort to work out a modus
Vivendi under extremely trying and unaccus-
tomed conditions of life amidst newly freed
Negroes unused to freedom. But southern ac-
tions put a powerful weapon into the hands of
northern enemies of restoration.
Northern opinion itself was divided The
large but discredited minority which had op-
posed the war now sought to restore the South
at once and on almost any terms. Many War
Democrats and Lincoln Republicans also
favored magnanimity and speedy restoration,
but on Johnson's terms. On the other hand, a
Radical minority were determined to keep the
South out of the union or under military con-
trol until, through white disfranchisement and
Negro suffrage, it could be "remade on a
northern model" and permanent rule of the
nation by the Radical faction could be assured.
When Lincoln died, a great majority of north-
erners favored his and Johnson's policy. The
Radical leaders, realizing that they were in a
hopeless minority even in their own section,
sought delay while they "educated" the people
to extreme measures; and so successful were
they that between April, 1865, and November,
1866, they were able to win over a group of ad-
herents large enough to give them two-thirds
control of a Congress from which southerners
were forcibly excluded. This change of popular
heart was accomplished by a campaign of mis-
representation and vituperation which blinded
the public to the vital problems confronting the
nation.
Indeed behind the smoke screen of Radical
rodomontade were concealed issues whose solu-
tion would determine the fate of the United
States for decades to come. The first of these
was whether southerners could be trusted to
return to participation in the union. While
many northerners honestly believed that the
former slaveholders were inherently wicked and
that allowing them to regain political power
would destroy the union, the Radical Repub-
licans were more realistic. They opposed resto-
ration of an unreconstructed South largely be-
cause they realized that it made probable a
combination of southerners with northern Con-
servative Republicans for the purpose of break-
ing the Radical control over Congress The
much discussed question of the dangers at-
tending southern restoration was in reality
therefore only a political device designed to keep
the Radicals in power. The same was true of the
Negro question. Men like Charles Sumner were
sincerely interested in the Negro's welfare and
determined to protect him against reenslave-
ment, for the most part, however, Radical
politicians felt concern over the Negro because
he would vote Republican. Radical leaders were
determined from the first to stiy in office by
giving the Negro the ballot, but too much
opposition to Negro equality existed in the
North to permit this to become an avowed issue
of the congressional campaign of 1866
The Fourteenth Amendment contained four
distinct measures incorporated by the Radicals
into one. Section one protected the civil rights
of Negroes Section two provided that if the
Negroes were not allowed to vote, southern
representation should be reduced according to
the proportion of Negroes to the total popula-
tion Section three disqualified from holding
public office all persons who, having held any
civil or military office, however petty, under the
United States or under any state, had then
violated the oath of allegiance required for that
office by voluntarily supporting the Confeder-
acy Congress alone by a two-thirds vote had the
po\\er to remove such disability Section four
repudiated the Confederate and guaranteed the
federal debt.
The punitive section of the amendment was
calculated to leave the South leaderless in the
most trying period of its history; it was inevi-
table that its inclusion should make the whole
amendment intolerable to southerners as well as
to Johnson Conservatives in the North who
might have accepted the other sections. The
Radicals, however, refused to allow the different
measures in the amendment to be presented sep-
arately; they were thus able to claim that Conserv-
atives who objected only to the punitive clause
were opposed to the more moderate portions.
Bondholders, for instance, were convinced that
the repudiation of the federal debt could be pre-
vented only by the election ot Radicals. By
introducing a bill guaranteeing restoration upon
ratification the Radicals led moderates to believe
that the amendment embodied their definitive
terms to the South, while, by failing to pass the
bill, they left the door open to complete subjuga-
Encyclopaedia of the Social Sciences
170
tion of the southern states when they had ob-
tained a two-thirds control of Congress. Thus
the Fourteenth Amendment played an impor-
tant but purposely confused part in the Radical
victory.
Economic questions, which really were at the
heart of the Radical attack on the South, were
kept in the background. The real danger from
"the return of rebels to power" was not the
overthrow of the union but the ousting of the
new industrial forces from control in Washing-
ton by a renewed combination of southern
planters and western farmers. Significant eco-
nomic policies of the day still to be determined
in permanent form were the questions of con-
gressional extravagance, the incidence of tax-
ation, contraction or inflation of the currency,
the payment of federal bonds m gold or de-
preciated greenbacks, the role of the new na-
tional banks and the government's attitude
toward the monopoly practises and corrupt
methods of big business and toward the spolia-
tion of the public lands for private gain. Of par-
ticular importance was the tariff question. High
tariff men had been in a hopeless minority
before the war. After the southerners withdrew
from the union, they were able to obtain tariffs
high enough not only to offset huge war taxes
on industry but to afford additional protection
against foreign goods as well. Then, by keeping
southern representatives out of Congress and
winning western farmers with a wool tariff, the
protectionists were able to retain the war duties
after the war taxes which they offset had been
repealed. These were the economic issues upon
which Radicals did not dare permit the "unre-
constructed" South to pass judgment. Indeed
northern opposition to the position of the
Radicals was so keen that these questions were
persistently excluded from political discussion.
For years all criticism of the Radical program
which meant governmental support of big
business was effectively silenced by appeals to
mob hysteria, such as the "waving of the
bloody shirt" or the invoking of the sectional
loyalties.
Radical leaders outgeneraled Johnson su-
perbly. The president saw that the Radicals were
determined from the beginning to proceed to
extreme measures. Believing that to yield or to
compromise on any point would mean ultimate
defeat, Johnson refused to approve important
matters concerning the South until southern
states were permitted to participate in their
enactment. This explains his opposition to bills
which ordinarily he would have accepted; it
explains also his refusal to advise the South to
ratify the Fourteenth Amendment. But Johnson
committed an unfortunate blunder when he
failed to oust all the Radical officeholders, with
the result that the Radicals were able to wield
the great patronage power against him. He erred
further in permitting the Radicals to confuse and
conceal the really important issues of the day,
for his own position on these, particularly the
economic ones, would have obtained majority
support even in the North. The moderate third
party movement, which could have swept the
North, failed because the Philadelphia Conven-
tion of 1866 did not create a new party with
party machinery and candidates; Conservative
Republican voters in November, 1866, were
therefore faced in most cases with the dilemma
of choosing between Radical and Copperhead
candidates. In spite of all this the Radical victory
in 1866 in many states was won by only a slight
majority. By no stretch of the imagination, then,
could it be construed as a verdict in favor of
Radical reconstruction. It was this election, how-
ever, which gave the Radicals the two-thirds
majority in Congress which permitted them to
carry out their southern policies unopposed.
The momentous Reconstruction Act, em-
bodying the Radical program, was passed on
March 2, 1867. It divided the former Con-
federate states (save Tennessee, which had
ratified the Fourteenth Amendment and been
readmitted into the union) into five military
districts, where martial law was to prevail. It
established provisional state governments, which
could be abolished or changed at the will of the
federal government. It ordered the election of
delegates to constitutional conventions, with all
adult males participating, regardless of color,
except the southern leaders disqualified from
officeholding by the Fourteenth Amendment.
Upon the framing of constitutions which in-
cluded provision for Negro suffrage and upon
the ratification of the Fourteenth Amendment
and the approval of the new constitutions by
Congress, the seceded states would be ready for
readmission; but no person could be elected to
Congress who could not take the "ironclad oath"
that he had never fought or held office under the
Confederacy or in any way supported it. By 1868
five states, besides Tennessee, had been re-
admitted after meeting these onerous terms.
As late as the presidential campaign of 1868
the Republicans had not dared to include Negro
suffrage for the North in the party platform. But
Reconstruction
171
soon after their victory in the election they
passed the Fifteenth Amendment, which pro-
vided that the right to vote should not be denied
"on account of race, color, or previous condition
of servitude." The amendment was ratified by
March, 1870, but like the Fourteenth could not
have been ratified at all except by forced rule of
the South. As southerners became more and
more restive under Radical rule, Congress en-
acted more extreme measures during 1870-72:
laws to enforce the Fourteenth and Fifteenth
Amendments; to protect Negroes against in-
fringements of rights by individuals as well as
by states; to grant jurisdiction to the federal
courts in cases involving racial equality; to
provide federal supervision of elections; to em-
power the use of military force to protect
Negroes; to legalize suspending the writ of
habeas corpus; and to penalize heavily the
activities of the Ku Klux Klan. Just before they
lost control of the House in March, 1875, the
Republicans enacted a new civil rights law.
But the end was near. The excesses of the rule
of carpetbaggers, "scalawags" and Negroes,
most of the last as yet unfitted for public office,
threatened to complete the ruin of the South.
The old governing class of the tidewater and the
small fanners of the up-country areas, whose
relations had traditionally been hostile, now
joined hands to combat the common foes, the
enfranchised Negroes and their northern carpet-
bagger friends. Nor could a military dictatorship
be maintained permanently over a whole people;
and, as soon as northern troops were with-
drawn, southern whites, by open disregard of
laws and the constitution, by intimidation of the
Negroes and mob violence, took po^er back
into their own hands. Northerners too had
grown tired of trying to rule the South by force.
They became eager to decide the vital economic
issues which reconstruction politicians had
evaded. It therefore became increasingly diffi-
cult to mobilize public opinion in support of the
drastic measures necessary to keep the South
Republican. In 1871 the "ironclad oath" was
repealed; in 1872 Congress granted a general
amnesty; and in 1877 President Hayes removed
the last of the federal troops from the South.
With northern support gone, the Republican-
Negro governments were captured by the whites
and for fifty years the South continued solidly
Democratic.
Constitutional questions bulked large in the
discussions over reconstruction. The southern
states had justified their withdrawal from the
union by the theory that the constitution was a
compact between sovereign states, which any
state could abrogate when it ceased to serve the
purposes for which it had been drawn up. The
North justified its going to war to force unwilling
southerners to stay in the union by the theory
that the United States was an indestructible
union of states no longer sovereign, from which
no state could secede since every citizen of every
state was also a citizen of the United States and
owed supreme allegiance thereto. With the war
ended, Johnson sought to restore the seceded
states on the basis of the indestructible union
theory; but this no longer served the purposes
of the Radicals. Some of them now espoused a
"conquered province" doctrine which denied
southerners all rights save those the victors
wished to grant; others reconciled their 1861
claims that states could not secede with their
1865 desire to deny them statehood by insisting
that the southern states through rebellion had
lost their status as commonwealths and had
reverted to a territorial condition. Southerners,
on the other hand, argued vigorously for the
unimpaired rights of states Actually, constitu-
tional arguments were merely rationalizations of
the economic and political desires which de-
termined the respective programs. It was not
constitutional precedent therefore but force of
arms \vhich led the Supreme Court to rule in
Texas v. White [74 U. S. 700 (1869)] that the
ratification of the constitution in 1788 had
solemnized an indestructible union and that
Congress had the power to approve or reject the
governments of the southern states.
In discussions of constitutional precedents to
support or deny the right of secession or the
territorial status of southern states, the attempt
of Radicals to overthrow the traditional form of
American government has often been over-
looked. The Radicals actually sought to con-
centrate power in the national government by
substituting close centralization for the existing
federal system and by transforming the states
into mere administrative subdivisions. In place
of the federal checks and balances they wished
to set up a parliamentary system with executive,
courts and the constitution itself subordinate to
an omnipotent Congress. For three years Presi-
dent Johnson was kept helpless not only by the
fact of a two-thirds majority which could always
override vetoes but by specific legislation which
took administrative power out of his hands, even
to the extent of forbidding him to dismiss his
own appointees without congressional consent.
Encyclopaedia of the Social Sciences
172
Had the Radicals succeeded in removing John-
son, the president would have become a puppet
in the hands of Congress; indeed the Supreme
Court might easily have been the next victim.
As it was, the court was for years cowed into
avoiding decisions which would offend Con-
gress While exparte Milligan [71 U. S. 2 (1866)]
did declare military tribunals unlawful even in
war time when the civil courts were functioning,
this decision was not handed down until the
Civil War had been safely over for two years.
When the constitutionality of radical reconstruc-
tion was brought before it, the court dodged the
issue; and in Georgia v, Stanton [73 U. S. 50
(1867)] and Mississippi v. Johnson [71 U.S. 475
(1867)] it found reasons for refusing to assume
jurisdiction In Texas v. White in 1869 it merely
registered the result of the war and the will of
the Radicals. It was not until public opinion had
turned and the Radicals had lost control of
Congress that the Supreme Court dared place
its stamp of unconstitutionally upon Radical
reconstruction in United States v. Cruikshank
[92 U. S. 542 (1876)], United States v. Reese
[92 U. S. 214 (1876)], the Civil Rights Cases
[109 U. S. 3 (1883)] and United States v. Harris
[io6U. 8.629(1882)].
Reconstruction bequeathed an important
heritage to the South. Here it brought years of
suffering, the decline of the old aristocracy, the
rise to political power of the white masses from
the up country and the social and economic
revolution which has created the "new South."
Slavery was destroyed, but reconstruction did
not solve, indeed it actually complicated, the
social and economic problems of ignorance, in-
efficiency and racial differences that had ex-
isted under slavery. In spite of the presence of
the easily circumvented post-Civil War consti-
tutional amendments reconstruction left the
southern Negro without adequate protection of
his newly acquired civil rights, virtually without
the ballot, socially inferior, economically ex-
ploited, and with scant means of improving
himself or his status. From reconstruction the
nation inherited a "solid South." To the South
this has meant that its attitude toward national
problems has been completely dominated by the
necessity of maintaining a united front against
the Negro; to the Democratic party it has meant
the presence of a bloc of conservative votes great
enough to prevent the party from becoming a
truly liberal organization; to the nation it has
meant political derangement caused by the in-
ability of various groups in the south to join
similar groups in other sections against common
opponents.
Reconstruction also left an important heritage
to the North. The Fourteenth Amendment, pre-
sumably passed to protect the Negro, has been
utilized by the Supreme Court to prevent the
enactment of social legislation opposed by
property interests and the public regulation of
business practises. Also by a clever use of
popular shibboleths northern industrialists,
working through their allies, the leaders of the
Republican party, succeeded in focusing na
tional attention for almost a dozen years on the
single question of reconstruction, while by pre-
venting the union of the South and West, they
were able to overpower the agrarian forces, the
really dominant class in the country. In 1865
the new industrial forces would have been easily
outvoted. But during the long years of recon-
struction a new economic and social order was
being nurtured to maturity by tariffs and other
governmental favors and special privileges. By
the time reconstruction ended and the South and
West were permitted to combine politically once
more, modern industrialism was too strong to be
controlled. The age of big business had dawned.
Radical reconstruction did not cause mdustnal-
i/ation, but these years of undisturbed business
control of the government molded its course.
HOWARD K. BEALE
See NEGRO PROBLEM, Ku KLUX KLAN.
Consult: Beale, Howard K , The Critical Year; a
Study of Andrew Johnson and Reconstruction (New
York 1930), with bibliography p 407-35, Kendnck,
B. B , The Journal of the joint Committee of Fifteen
on Reconstruction, Columbia University, Studies in
Economics, History and Public Law, no 150 (New
York 1914), Burgess, John W., Reconstruction and the
Constitution, 1866-1876 (New York 1902); Dunning,
W. A , Essays on the Civil War and Reconstruction
(rev. ed. New York 1904), and Reconstruction, Political
and Economic, 1865-1877, The American Nation, a
History, vol. xxn (New York 1907); Fleming, W. L ,
The Sequel of Appomattox, Chronicles, of America, vol.
xxxu (New Haven 1919), and Civil War and Recon-
struction in Alabama (New York 1905); Milton, G. F.,
The Age of Hate; Andrew Johnson and the Radicals
(New York 1930), Clayton, Powell, The Aftermath of
the Civil War in Arkansas (New York 1915), Coulter,
E. M , The Ctvtl War and Readjustment tn Kentucky
(Chapel Hill, N. C. 1926), Davis, W. W , The Civil
War and Reconstruction in Florida, Columbia Univer-
sity, Studies in Economics, History and Public Law,
no. 131 (New York 1913); Eckenrode, H. J , The
Political History of Virginia during the Reconstruction,
Johns Hopkins University, Studies in Historical and
Political Science, ser. xxii, nos. 6, 7, 8 (Baltimore
1904); Fertig, J. W., The Secession and Reconstruction
of Tennessee (Chicago 1898); Ficklen, J. R., History of
Reconstruction Records, Historical
173
Reconstruction in Louisiana, Johns Hopkins Univer-
sity, Studies m Historical and Political Science, sen
xxvm, no. i (Baltimore 1910), Garner, J W , Recon-
struction in Mississippi (New York 1901), Hamilton,
J. G. de R , Reconstruction in North Carolina, Colum-
bia University, Studies in Economics, History and
Public Law, no 141 (New York 1914), Ramsdell,
C. W , Reconstruction in Texas, Columbia University,
Studies in Economics, History and Public Law, no.
95 (New York 1910), Simkins, F. B , and Woody,
R H , South Carolina during Reconstruction (Chapel
Hill, N. C. 1932), Staples, T. S , Reconstruction in
Arkansas 1862-1874, Columbia University, Studies in
Economics, History and Public Law, no 245 (New
York 1923), Thompson, C M , Reconstruction in
Georgia, Economic, Social, Political, 1865-1X72, Co-
lumbia University, Studies in Economics, History
and Public Law, no 154 (New York 1915), Winston,
R. W, Andrezv Johnson, Plebeian and Patnot (New
York 1928), Stryker, L P , Andrew Johnson, a Study
tn Courage (New York 1929), Hacker, L M , and
Kendnck, B B , United States since 1865 (New York
1932) chs. 1-111.
RECORDS, HISTORICAL. According to the
English Public Record Act of 1838 records in-
clude "all rolls, records, writs, books, proceed-
ings, decrees, bills, warrants, accounts, papers,
and documents whatsoever of a public nature "
Some archivists, like Hilary Jenkmson, find even
this definition too general and all inclusive and
would restrict the term to certain types of
legally authenticated documents While this
position deserves recognition, there does seem
abundant justification for the use of the term
in its wider acceptance as including all forms
of data, whether written or unwritten, that may
be employed as sources for the reconstruction
of the life and activity of man m the past In
this sense it will be employed in the present
discussion.
The concept of historical records will thus be
as broad as any particular definition of history.
On this question there is no concensus of
opinion. In general the dominant interests of
any age will condition the scope and content
which will then be given to the history of past
ages, and this in turn will determine the type of
materials to be employed as historical sources.
In an age when history is looked upon as a
branch of literature the historian may be almost
solely dependent upon literary records; that is,
annals and chronicles This view was long prev-
alent prior to the eighteenth ccnturv, and for
some generations thereafter dependence upon
the written record still remained predominant.
The industrial and political res olutions of the
seventeenth and eighteenth centuries challenged
the dominant position of the ruling class and
increased interest in social and institutional
history. This was further intensified by the
development of new sciences in the nineteenth
century which opened the eyes of historians
to new types of materials for the study of man's
past, of which for the most part they had hitherto
been unconscious. Among these archaeology
has made the most interesting contributions;
but ethnography, anthropogeography, philology
and iconography have also greatly enriched the
concept of history In 1837 Thomsen, a Danish
scholar, gave great impetus to the scientific
study of archaeology; he set out to make a
careful collection and classification of tools,
weapons, artifacts with a \\ide variety of uses
and physical remains of primitl\e man and to
relate them to the geological strata m which they
were embedded and to the flora and fauna vuth
which they were found. Already a generation
earlier the scientific study of pre-Greek ciuliza-
tions in the Nile and Tigris-Euphrates valleys
had been initiated Since that time there has
been gathered, classified, studied and inter-
preted an ever growing body of such materials
from all over the world; while they are incom-
plete because the written record is lacking, they
have been of immense value to the historian,
assisting him to reconstruct the outlines of
man's past extending back hundreds of thous-
ands of years and thus enabling him to secure a
better perspective on the few thousand years for
which written records exist.
The more obvious types of historical records
fall roughly into two mam classes, written and
unwritten. Among the latter are the physical
remains, both human hair, bones, and the like
and geographical records of the earth's
crust, its climate, topography, flora and fauna,
soil character, waterways, mountain barriers,
plains, deserts and woodlands; in short, all those
geographical agencies which operate as condi-
tioning factors in the life of man and as such
must be given due consideration in the treatment
of any historical question.
Material remains, archaeological and monu-
mental, are probably the most important of the
unwritten records by virtue of their abundance
and also, in primitive or early classical civiliza-
tions, because of the scarcity or entire lack of
other contemporary records Among these are
to be mentioned, clothing, tools and weapons;
coins, medals, seals, heraldic devices; objects
of art and luxury, including jewelry, carvings in
wood and enamel and sculptures in stone; metal
work in all its variety and intricacy, glass and
Encyclopaedia of the Social Sciences
174
textiles of various sorts; burial mounds, menhirs
and dolmens, temples or shrines; theaters,
colosseums and triumphal arches; town halls,
castles and the humbler dwellings of burgher
and peasant. The value of this type of material
for the reconstruction of the life of primitive
man is now fully recognized, but historians are
not always alive to its significance for a period
for which written records have become relatively
abundant. Rostovtzeff has emphasized its worth
as an aid in interpreting life in the classical
period of Greece and Rome; Alfons Dopsch
in his Wirtschaftliche und soziale Grundlagen
der europaischen Kulturentwtcklung (2 vols.,
Vienna 1918-20) has illustrated its use in re-
constructing economic life in Europe in the
early Middle Ages; and within the last few years
historians of art, by relating their materials to
other types of historical sources, have con-
tributed greatly to contemporary knowledge,
particularly of the Middle Ages. There is more
history in a Gothic cathedral than in many
tomes of written records.
On the border line between unwritten and
written records are the linguistic and the ethnic
records. At the opening of the last quarter of the
nineteenth century the philologists claimed to
hold the key to the explanation of virtually all
history. Further study has modified these ex-
treme views considerably, but the record of
language can by no means be ignored. Especially
in the scientific study of place names much
light is being thrown upon obscure pages of
history. A careful study of surnames in certain
periods of the Middle Ages may reveal much
of the development of industry in a given region;
while phrases, proverbs, names of common
things of everyday use, may provide a clue to the
cultural affinities of a people and thus to their
history. Such evidence must be used with cau-
tion, since nothing is more easily adapted and
adopted than language, but in the hands of a
carefully trained philologist it may be of great
historical value. Much the same is true of myth,
legend, folklore, ballad, epic, anecdote and tra-
dition. There was a time when these were dis-
carded as useless for historical purposes, but if
scientifically studied and sifted they may yield
valuable data, especially where they are con-
trolled by other types of sources. This has been
strikingly evidenced, for example, in the sub-
stantiation of Greek myths by excavations at
Troy and Crete.
With the rapid development of photographic
and cinematographic processes, graphic, pic-
torial and sound records are steadily becoming
more significant. Graphic and pictorial records,
such as charts, maps and portraits, have long
been utilized as important sources by the his-
torian; but the perfecting of the camera and the
combination of photography and sound repro-
ductionhaveintroducedan entirely new element.
It is necessary only to mention the still and mo-
tion pictures taken during the operations of the
World War and the so-called "record of events"
daily exhibited upon cinema screens to indicate
the tremendous significance of this type of
record for the student of contemporary history.
As the concept of history expands and the po-
litical preoccupations of historians give way to
interest in cultural aspects of man's past, these
various types of record take on new meaning and
significance. But after due consideration is given
them, the chief reliance of the historian must
still be upon the written record.
These written records are of many kinds.
They may be graven on stone, pressed in clay or
written on papyrus, parchment or paper. They
may employ pictorial characters, symbols or
alphabet, requiring tools of different sorts in
their writing and demanding various skills, such
as epigraphy, papyrology, palaeography and dip-
lomatic, in their deciphering and interpretation.
It must suffice here merely to name some of
the more important. First come inscriptions, of
which valuable and convenient collections have
been made from classical times the Corpus in-
scriptionum graecarum (Berlin 1873- ) and the
Corpus inscrtptionum latinarum (Berlin 1863- )
and of which perhaps the two most notable
examples are the Behistun rock and the Rosetta
stone, although their importance is by no means
limited to the classical and preclassical age,
Second come annals, chronicles and histories,
the first consisting of brief jottings year by year,
the second at its worst barely distinguishable
from the annals and at its best shading into the
histories. Third, poems and songs, epic, lyric or
didactic, historical or imaginative, may be of
great historical value. Fourth, there are docu-
ments of an official or quasi-official character,
by which the narrative sources mentioned above
must be supplemented and corrected; these in-
clude laws, decrees, all types of legally authen-
ticated papers, municipal, manorial or corpora-
tion records, tax and rent rolls, census and othe*
statistical materials, court records and notarial
registers. There was great dependence upon this
type of record during the latter half of the nine-
teenth century especially, and they must always
Records, Historical
175
be employed to afford the framework for any
historical synthesis. It is now realized, however,
' that even legally authenticated documents may
be tendential and either wilfully or negligently
erroneous. Historians are coming more and
more to realize that they need to be vivified by a
more vital type of record. Fifth, letters, diaries
and memoirs constitute a group of materials
ranging all the way from semi-official papers to
the untrustworthy and hazy recollections of old
age; the former two may be of extreme value as
reflecting the day by day impressions of men in
significant positions in political or civil life of
events in which they may have been chief actors.
Sixth, newspapers, periodicals and pamphlets
also afford living records of the trends of
thought and opinion regarding matters of
timely interest.
In a broad view of history the historian is
thrown into close association with and often de-
pendence upon associated disciplines or sciences,
both for the collection and for the interpretation
of data of which he must make use. Tradi-
tionally there have been enumerated certain
techniques, or "sciences," "auxiliary" to his-
tory: epigraphy, or the deciphering of inscrip-
tions; palaeography, or the science of old hand-
writing; diplomatic, the science of the analysis
and interpretation of documents, involving
knowledge of the different methods of reckoning
time, of the formulae employed by various chan-
celleries at different periods and of the conven-
tions used in the authentication of documents;
numismatics, sphragistics and heraldry. While
knowledge of these techniques is indispensable
in the handling of certain types of historical
records, the relation of the historian to workers
in allied fields is of even greater significance. His
dependence upon the geographer, the geologist,
the archaeologist and the philologist for the
gathering and interpretation of certain types of
sources has already been commented upon. But
no less close are his contacts with the sociologist,
the anthropologist, the social psychologist, the
economist and the statistician. The more he is
concerned with man as a social being, the closer
are these lines of contact drawn; and, despite the
efforts of those who would attempt clearly to
define the methods and objectives of each and
thus to differentiate between them, it seems clear
that the drift is toward a synthesis of the so-
called social sciences. The contribution of the
historian would then be in the method of
approach and the perspective which the dis-
cipline of his subject matter imposes upon him,
and from which students in allied fields might
well profit.
No discussion of historical records would be
complete without some reference to the work of
scholars in collecting and editing sources. A
beginning in this direction was made, even be-
fore the invention of printing, in the Specula,
most notable of which was that of Vincent of
Beauvais in the thirteenth century. Very soon
after printing became established, the collecting
and editing of records began on a large scale.
Much of this work was done hastily and un-
critically, with little or no attempt to collate
manuscripts, to discover the best manuscript of
a given work or to furnish adequate apparatus
in introduction or notes. Such were the Mo-
narchia Sancti Romani Imperil of Melchior Gold-
ast (3 vols., Hanover and Frankfort 1611-14)
and the Maxima bibliotheca veterum patrum of
Margarinus de La Bigne (8 vols., Paris 1575;
enlarged ed., 27 vols , Lyons 1677). Most
notable in the early work of editing texts was
that of the Congregation of Benedictines of St.
Maur and of the Jesuits under the leadership of
Jean Bolland. From the former, commencing
with the early seventeenth century, has pro-
ceeded a number of important collections of
sources and critical studies. Jean Mabillon's De
re diplomatica (Paris 1681), which initiated the
scientific study of palaeography and diplomatic,
is indicative of the critical scholarship which
went into their work. Best known of their collec-
tions of sources is the Rerum gallicarum et
francicarum scriptores, or Recueil des historiens des
Gaules et de la France. The plan of this work
was conceived by Andre du Chesne in the
seventeenth century, but he died when it was
only begun. In the following century it was
taken up by the Benedictines and under the edi-
torship of Dom Martin Bouquet the first eight
volumes of the Recueil appeared (1738-52). After
Dom Bouquet's death his colleagues took over
the work and several additional volumes were
published. Following 1796 publication was con-
tinued under the auspices of the Academic des
Inscriptions et Belles Lcttres and the work was
completed (1904) in twenty-four volumes, com-
prising a valuable collection of narrative sources
together with some sampling of official docu-
ments in the later volumes. The great accom-
plishment of the Bollandist fathers has been the
collecting, sifting and editing of the lives of the
saints, Acta sanctorum , the first volume of which
was published by Bolland in Antwerp hi 1643;
this work is still in process of publication. These
176
Encyclopaedia of the Social Sciences
must serve as illustrations of what is best in the
editorial work of ecclesiastical foundations. Ob-
viously much of it, especially in the early
volumes, is far from perfect. But the men who
worked upon it were gradually perfecting tech-
niques by which their successors and those
engaged in similar enterprises have greatly
profited.
Another class of publication comprises the
great national collections, born largely of the
desire to emphasize the importance of national
history and to enhance the nation in popular
esteem. Such is the Monumenta Germaniae his-
torica, begun in 1826 by G. H. Pert/ and still not
completed, which attempts to collect the sources
for German history from 500 A D. to 1500. Much
of the critical work in this series is admirable;
some has needed to be redone m the light of
new knowledge or new manuscripts. On the
whole, however, it serves as a model for this type
of collection. England in Renim bntannicarum
medii aevi scrtptores, or Chronicles and Memorials
of Great Britain and Ireland (1858-1911), pub-
lished under the auspices of the master of the
Rolls; France in the Collection de documents in-
edits sur Vhistoire de France (1835- )> published
under the auspices of the Minister of Public
Instruction; Spain in Coleccion de document os
ineditos para la historia de Espana (1842-95);
and Italy in Rerum italicarum scnptores (1723-
51), now in process of reissue in an enlarged edi-
tion, have similar series. The Italian collection
is notable as the firbt undertaking of its kind and
also because it represents the work of a single
editor, L. A. Muratori.
There are also important collections of ma-
terials for local history, such as that of the Sur-
tees Society (Publications, vols. i-cxlvii, Dur-
ham 1835-1932); of special types of documents,
such as the publications of the Pipe Roll Society
(Publications, vols. i-xlvu, London 1884-1932)
or the Selden Society (Publication*, vols. i-1,
London 1888-1930); of town or industrial
records; and, of recent date, great collections
of materials on contemporary diplomacy de-
signed to substantiate the position of one or
another of the participants in the World War,
best illustrated perhaps by Diegrosse Politik (40
vols., Berlin 1922-27).
With possible rare exceptions none of the
collections of materials can be more than selec-
tions from the mass of historical data. Much of
this has been collected with a special end in
view, and all of it reflects either consciously or
unconsciously the point of view of the editor
or editors who made the selections or of the
group under whose auspices a given collection
has been published. They are conditioned also
by the quality of the workmanship which has
gone into the collecting and collating of manu-
scripts and the preparation of the text. The
personal equation will always remain, but with
progress in technique, especially through the
training of competent scholars by such an insti-
tution as the Ecole des Chartes, the accuracy of
the text and the quality of the critical apparatus
have also greatly improved. The Corpus scrip-
torum ecclenasticorum latinorum, for example, is
a model of careful and scholarly editing.
AUSTIN P. EVANS
See HISTORY AND HISTORIOGRAPHY, PREHISTORY;
ARCHAEOLOGY, ARCHIVES, GOVERNMENT PUBLICA-
TIONS, SACRED BOOKS, WKIIING, LANGUAGE.
Consult Salmon, Lucy M , Historical Material (New
York 1933), Bcrnhcnn, Ernst, Lehrbuih der Instoruihen
Methode und der Geschichtsphilowphie (6th ed Leipsic
1908), Bauer, Wilhelm, Einfuhrung in das Studium der
Gesdnchte (2nd ed. Tubingen 1928), Teggert, F J ,
The Processes of History (New Haven 1918), Langlois,
C. V , Manuel de bibliographic histonque, 2 vols. (vol.
i 2nd ed , Pans 1901-04), Johnson, Allen, The His-
torian and Historical Evidcnie (New York 1926),
Freeman, E. A , The Mtthods of Historical Study
(London 1886), Hall, Hubert, Studies in Engl.sk
Official Historical Documents (Cambridge, Eng 1908);
Jenkmbon, Hilary, A Manual of Archive Administra-
tion, Carnegie Endowment for International Peace,
Division Oi Economics and History, Economic and
Social History ot the World War, British series (Ox-
ford 1922); Giry, A , Manuel de diplomatique, 2 vols.
(new cd. Pans 1925), Thompson, E M , An Introduc-
tion to Greek and Latin Palaeography (Oxford 1912).
RECREATION. The recognition of recreation
as a social problem is largely the result of forces
set in motion by industrial developments. Public
entertainment of the spectacle type elaborate
pageants, athletic contests, chariot races and
gladiatorial combats fostered by governments
in classic times partly as a means of allaying so-
cial unrest, languished during the Middle Ages,
chiefly because of the disapproval of the Chris-
tian church and also because of social cleavages
under which formal recreation became for the
most part an upper class prerogative. The com-
ing of industrialization with its concentration of
population in urban centers brought recreation
into new focus. The benefits of shorter working
hours made possible by the introduction of the
machine were offset by the high degree of fatigue
resulting from mechanized, routinized occupa-
tions that inhibited not only physical activity
but the exercise of creative capacity, which had
Records, Historical Recreation
177
been possible to some extent under the craft
system. It was this situation which drew atten-
tion to the importance of recreation as a com-
munity need and led to the development of the
two major aspects of the recreation problem in
its modern sense: commercial recreation and
organized community recreation, or what might
be called the recreation movement.
Commercial recreation owes its rise to the
laissez faire system of the nineteenth century,
which, in England and the United States, apart
from sporadic philanthropic efforts failed to
make necessary provision for the increased
leisure of large sections of the population. The
consequent assumption by private and com-
mercial interests of the provision of recreation
for financial profit rapidly developed into a large
scale business enterprise, which at the present
time represents millions of dollars in investment
and in annual receipts. The description of com-
mercial recreations as those in which a fee is
charged is not altogether accurate, for not infre-
quently small fees are charged for public recrea-
tion facilities in order to pay for maintenance. A
more accurate designation of commercial recrea-
tions would be those not provided and operated
by publicly financed or philanthropic agencies
but run primarily for profit. In addition to the
traditional amusement enterprises commonly
classed as commercial the theater, including
vaudeville and burlesque shows, motion pic-
tures, billiard and pool rooms, street carnivals
and amusement parks, dance halls, cabarets,
night clubs and road houses recent years have
witnessed the development of swimming pools,
summer camps, golf courses, tennis courts and
skating rinks, all operated for financial gain. The
commercialization of the public demand for rec-
reation is further exemplified by professional
baseball and football and by certain other sports,
such as prize fighting and horse racing.
While recreation in general is to some extent
correlated with the economic level of a popula-
tion, this relationship applies particularly to
commercial recreation. In the United States
during the prosperous years following the World
War commercial recreation in variety and extent
probably surpassed that of any other country.
Quantitatively commercial amusements are the
most popular resource for the leisure time of the
American people. In most cities where recrea-
tional surveys have been made it has been shown
that with regard to volume of service commercial
amusements are far more important than those
which are privately endowed or publicly sup-
ported. Only scattered statistics exist, however,
as to the total expenditures for commercial rec-
reation. This is partly because of the varied and
intricate character of commercial amusement
enterprises and partly because no centralized
method exists for reporting amounts paid for ad-
mission to places of amusement except in the
case of those subject to taxation. In 1923-24,
when federal taxes levied on practically all com-
mercial amusements during the World War were
still in effect, the total amount paid by the public
of the United States for admission to places sub-
ject to this tax was more than $768,000,000.
Since all commercial amusements charging an
admission of 10 cents or more were included,
this figure probably covers moving picture and
other theaters, concerts given for financial profit,
baseball and football games, dance halls and
amusement parks. On the basis of 85,000,000
admissions per week at an average admission
price of 30 cents the amount spent in 1930
by the American public on motion picture en-
tertainment has been estimated to be $1,326,-
000,000. Computed from the federal tax paid
by dance halls, cabarets, roof gardens and
night clubs, the money spent on this type of
commercial amusement for the year ending in
June, 1930, amounted to approximately $23,-
725,000 Another form of commercial entertain-
ment which forged to the front during the
1920*3 is the radio. In 1930 the total retail sales
of radios and radio parts reached $500,951,000,
apart from an estimated $45,000,000 paid to
broadcasting stations by advertisers. Pool, bil-
liards and bowling have declined in recent years,
but in 1920 the number of tables and alleys was
278,216. The attendance for a single day at the
Coney Island amusement park in New York
City is often 800,000. An estimate of the annual
expenditures for a restricted group of commer-
cial recreations in the United States for the
decade ending 1930 was attempted by the
President's Research Committee on Social
Trends. The total arrived at was $2,214,725,000,
a figure probably far below the actual amount
spent, inasmuch as there are numerous forms of
commercial amusement for which no satisfactory
estimates of expenditures can be made.
The unwholesome character of certain types
of commercial recreation, their alliance with or-
ganized crime and vice, and their tendency to
contribute to juvenile delinquency, have caused
widespread popular agitation, which has resulted
in varying fo ms of covernmental regulation.
The basis of such regulation is usually a sys-
178
Encyclopaedia of the Social Sciences
tern of licensing and inspection, which in addi-
tion to restricting admissions, applies to physical
conditions, including sanitation, ventilation, fire
hazards and safety of buildings, and to the
type of offering and the general conduct of the
enterprise. In most communities this control is
exercised through local municipal ordinances,
although in some states there are laws governing
amusements and public exhibitions. Occasion-
ally a government goes even further than super-
vision and makes an effort to suppress commer-
cial amusements which violate the social code or
are considered a menace to public morals. Pro-
hibitive legislation of this type has been applied
to gaming devices, to gambling in connection
with legitimate amusements and to dance halls
or resorts fostering vice. Within recent years
commercial interests have begun to exercise a
voluntary control, endeavoring to improve the
character of their enterprises as a means of court-
ing public favor and attracting patronage In
many cities, for example, associations of man-
agers or owners of dance halls and pool rooms
have taken steps to set up standards and to bring
pressure to bear within the trade to insure con-
formity to these standards. Motion picture pro-
ducers are undertaking to exercise similar con-
trol nationally.
Growing realization of the importance of
wholesome recreation led in the twentieth cen-
tury to the development in the United States of
organized community recreation as a public re-
sponsibility. Somewhat earlier, in an effort to
mitigate the evils resulting from urban conges
tion, humanitarian and social reformers had
sponsored the children's playground, the first
type of organized recreation. During this same
period the function of public parks, hitherto
largely aesthetic, was widened to include pro-
vision for sports, games and other forms of out-
door recreation Out of these scattered begin-
nings arose a concerted community effort to
provide recreational facilities for all classes and
ages. Private and philanthropic agencies were
the first promoters of recreation, and such or-
ganizations as the Young Men's Christian Asso-
ciation, the Young Women's Christian Asso-
ciation, social settlements, women's clubs and
parent-teacher organizations as well as indus-
trial and labor groups lent their support to the
movement and urged its development by gov-
ernmental authorities The extent to which the
latter aim has been realized is apparent in the
enormous range of recreational facilities which
today are provided under municipal and some-
times state and national auspices. In most Amer-
ican cities provision is made not only for sports,
athletics, swimming, boating and general out-
door recreations but for pageants, festivals,
plays, community music, dancing and similar
activities. Through the cooperation of the com-
munity center and the adult education move-
ments civic and educational features are empha-
sized by means of debates, lectures and moving
picture exhibits. Schools have extended their
legal function to include equipment and leader-
ship for many types of community recreation.
School auditoriums have been supplied with
stages for dramatics, portable school furniture
has been installed so that classrooms may be
cleared for all kinds of social occasions, evening
classes in arts and crafts for adults are provided
m many cases and neighborhood clubs are in-
vited to use the facilities of the building for their
activities As public provision for recreation has
developed, certain types of sport which because
of their costly equipment were formerly avail-
able only to wealthy classes have been included
m park planning. Golf links, tennis courts, polo
fields, bridle trails as well as field houses con-
taining bowling alleys and pool and billiard
rooms have become common in public parks.
The War Camp Community Service organ-
ized during the World War helped greatly to
accelerate the recreation movement, demon-
strating as it did the beneficial effect of organized
recreation in terms of community health and
morale. The National Conference on Outdoor
Recreation called by President Coolidge in 1924
drew attention to the numerous forms of outdoor
recreation available in the United States and en-
deavored to coordinate national, state, county
and municipal agencies in providing recreational
facilities. One of the most important agencies in
the development of a public opinion favorable to
community recreation is the National Recrea-
tion Association, organized in 1906 as the Play-
ground Association of America. Through its
monthly journal, Recreation, its pamphlets,
handbooks and numerous other publications, its
field workers who assist communities with their
programs, and its studies and surveys it has
given both impetus and direction to organized
recreation. It has been active in encouraging the
provision of recreational facilities in rural com-
munities where until recently, because of isola-
tion on the one hand and the high per capita cost
of leadership on the other, the movement had
made little progress.
In the development of recreation as a new
Recreation
179
form of public service varying types of admin-
istrative machinery have appeared. In several
states early legislation authorized the expendi-
ture of funds for play and recreational purposes
by school and park boards. Since 1917 an in-
creasing number of states have passed home rule
recreation bills permitting cities to carry on year
round municipal recreation programs under the
direction of trained, salaried leaders. In some
cases this legislation has provided for the ad-
ministration of the work by a recreation com-
mission, a method which is being applied in a
variety of combinations with park boards, school
boards or other municipal departments Because
of the range of functions which an administra-
tive body must necessarily carry on, the ma-
jority of recreation leaders favor the coordina-
tion of all recreational activities, excluding the
supervision of commercial recreation, in a single
body with legal standing in the community and
with adequate funds appropriated by the munic-
ipality. In 1915 only two states had enacted
legislation empowering municipalities to create
recreational departments as integrated elements
of the city government. In 1927 twenty-one
states had such laws.
Some notion of the extent of public recreation
in the United States may be gained from the
1933 Yearbook of the National Recreation Asso-
ciation, according to which in 1932 there were
6990 outdoor playgrounds, 770 recreation build-
ings, exclusive of schoolhouses, 2052 indoor
recreation centers, 1629 athletic fields, 4161
baseball diamonds, 472 bathing beaches, 374
golf courses, 1659 ice skating rinks, 108 stadia,
1094 swimming pools, 9267 tennis courts, 816
handball courts and 271 toboggan slides A total
of 12,684 separate play areas was reported, and
554 of these were opened for the first time in
1932. It was reported likewise that 1012 cities
provided leadership for supervised facilities:
2 3>37 were paid and 9280 were volunteers.
These cities voted bonds for recreation purposes
to the amount of $1,167,497.26, and budget ex-
penditures for the year for public recreation
totaled $28,092,263.09, only about 3 percent
emanating from private sources. In contrast
with this record, figures for 1912 show that only
285 cities were maintaining supervised play-
grounds and recreation centers, employing only
5320 workers and expending a total of $4,020,-
121.79.
In the administration of recreation, both pub-
lic and private, a new profession has developed.
Training courses for recreation workers are now
offered by some 400 educational institutions,
and the National Recreation Association con-
ducts a special school for recreation executives.
High standards are set for scholarship, technical
information, personal ability, leadership and
character Advanced study courses are required,
and staff conferences are held at regular intervals
to report upon and discuss recreation problems
and programs designed to meet growing com-
munity needs.
Organized community recreation exists in
only a few places in Europe, and where it does
it may be said to imitate American methods.
Theaters, opera houses, botanical and zoological
gardens, art galleries and museums, which in
most continental cities are municipally owned or
subsidized, are customarily regarded as educa-
tional rather than recreational services. Further-
more, while it is true that since the World War
interest in recreation has greatly increased in
Europe, it has been concerned chiefly with
workers' recreation Trade unions and other
labor organizations have made an attempt to
organize leisure time activities for their mem-
bers. Class divisions are everywhere apparent
and many of the youth movements, with their
emphasis on sports and physical activity, are re-
ligious or political in origin and are designed to
ser\e only restricted groups. In countries where
a dictatorship exists recreation is likely to consist
of a superimposed program of activity with mili-
tary preparedness as its dominant motive. This
is largely true of the Italian Dopolavoro, insti-
tuted in 1925 primarily as a leisure time move-
ment, and embracing nation wide educational
and cultural as VN ell as physical and recreational
activities Although admirable in scope, it is an
integral part of a political technique and is not
essentially an expression of popular interest, as
is the case with public recreation in the United
States.
Following the war an enormous increase in
voluntary organized recreation, particularly in
the field of sports, occurred in Germany. Nearly
every large city boasted its athletic stadium or
Sportplatz and all sorts of organizations, re-
ligious, political and social as well as the numer-
ous branches of the youth movement, enthusi-
astically espoused recreation. The state lent its
encouragement by granting subsidies to certain
workers' sports federations. Hitler's accession to
power, however, greatly altered the situation in
Germany, and brought about a reversal to gov-
ernment imposed programs of recreation.
In Norway and Sweden, because of climatic
Encyclopaedia, of the Social Sciences
180
conditions, community recreation finds its best
expression in winter sports. Aside from this em-
phasis, recreation in these countries has to some
extent been circumscribed by the deeply in-
trenched system of formal gymnastics which
dominates Scandinavian physical education and
athletics. In Denmark recreation is promoted for
the most part through the well established sys-
tem of folk schools, while in Czechoslovakia it is
centered in the Sokols, a nationalistic movement
founded in 1862 which combines educational
and cultural activities with organized sport,
athletics and games. In the Scandinavian coun-
tries as in central Europe recreation has been
receiving increased attention in connection with
city planning, and in a number of towns provi-
sion has been made for new and enlarged park
space and sports fields.
Belgium is one of the few countries on the
continent where an attempt has been made at
official provision for leisure and recreational ac-
tivities. Before the eight-hour day became gen-
erally effective in 1921, the public authorities of
several highly industriali/ed provinces ap-
pointed committees to formulate programs of
recreation for workers and to provide facilities
for their execution. The result has been the sys-
tem known as loisirs des ouvriers, which fosters
playgrounds, community gardens, music, games,
sports, gymnastics and educational lectures.
Complete indifference to recreation as a prob-
lem of public concern and conspicuous lack of
recreation and leisure provision either official or
unofficial have until recently been characteristic
of France, where a tradition of individuality has
frequently hampered the development of mod-
ern social welfare services. The same situation
has prevailed m Spain and Portugal and in the
Latin American republics. In the case of the
latter English and American immigrants have
within recent years introduced golf, baseball,
soccer, tennis, cricket and other games, which
are becoming popular among the natives. Public
playgrounds modeled after those in the United
States have been established under private
auspices in Buenos Aires and Rio de Janeiro.
In England a traditional play spirit, largely
spontaneous, offers little opportunity for super-
vised recreation. What organized recreation
there is depends almost wholly on private initia-
tive and backing and finds its expression through
school and university organized sports, through
the adult education movement and through in-
dustrial welfare. The last, rooted in a belief in
the paternalistic method, enables a factory owner
or employer to provide recreational opportuni-
ties for his workers as part of a general welfare
service. Recreational practise in English colonies
for the most part follows that of the mother
country and consists almost wholly of sports and
competitive play.
The most significant example of a changed
attitude toward recreation is to be found in
Soviet Russia, where a comprehensive program
including sports, athletics and cultural activities
has been put into execution under government
auspices. In Leningrad, Moscow, Kiev and
other large cities parks of culture and rest have
been established, equipped with playgrounds,
athletic stadia and facilities for various sports.
In addition a program of physical and recrea-
tional activity is offered m connection with
schools, political organizations, labor unions,
rest homes, sanatoria, organizations of young
Communists and a great variety of other groups.
Recreation is considered an integral part of a
worker's life and essential to his health and
physical fitness.
Until the advent of American teachers and
missionaries organi/ed community recreation in
the Orient was practically unknown. In recent
years, however, the governments of both Japan
and China have taken steps to provide public
playgrounds of the type familiar in America and
have been active m educating native teachers as
recreational supervisors. In the case of the
Philippine Islands and Hawaii American rule
has been accompanied by the introduction of an
educational and recreational program in which
organized play for both adults and children has
a prominent place. In Turkey notable changes
have occurred since the World War with regard
to the public attitude toward recreation. With
the emancipation of women and the extension of
educational and welfare activities under the
Turkish Republic, adults as well as children are
participating in increased numbers m com-
munity sports and recreational activities. In
April, 1930, under the auspices of Himayei
Etfal (National Child Welfare Association) and
the American Friends of Turkey a playground
was opened in Angora designed to serve as a
demonstration center and a model for the Turk-
ish nation. In addition the Ministry of Educa-
tion working in conjunction with the National
Education Society has formulated a recreational
program to meet the needs of adults.
Education of the public for leisure and provi-
sion of adequate community facilities for recrea-
tion constitute a question which in all countries
Recreation Red Cross
181
has taken on added seriousness with the eco-
nomic depression. The enforced leisure resulting
from unemployment has become one of the most
urgent problems in industrial nations. It is
aggravated by the fact that since 1930 there has
been a decline in the expenditures for most
forms of commercial amusement, an indication
that increasing numbers of people who formerly
relied upon commercial amusements for their
entertainment are turning to public recrea-
tion, at a time when funds for its support are
being curtailed. In some American cities the
problem has been met by the use of unemploy-
ment relief funds for the construction of in-
creased park and playground facilities. The
scope of activities has been fxirther enlarged by
the recruitment of playground and recreation
leaders from the ranks of the unemployed This
is only a temporary solution, however, and the
planning of a systematic, permanent program of
community recreation, based on a recognition of
its social and economic importance and of the
close correlation between participation in recre-
ation and the economic level of the people, is
one of the vital responsibilities of society.
LFF F HANMER
See LEISURE, AMUSEMENTS, Ptoi ic, AIHLETICS;
SPORTS, PHYSICAL EDUCATION, PLAY, MOTION PIC-
TURES, THEATER, ADULT EDU<_ MION, Pi AYC ROUNDS,
PARKS, CLUIIS, BOYS' AND GIRLS' CLUBS, COMMUNITY
CENTERS, SOCIAL StTTLtMiNrs, Win ARE WORK, IN-
DUSTRIAL; AMATEUR; COMMFRCIAI ISM
Consult: GENERAL Curtis, Henry S , Play and Recrea-
tion for the Open Country (Boston 1914), and The
Play Movement and Its Significance (New "iork 1917),
Rainwater, C. E , The Play Movement in the United
States (Chicago 1922), Elsom, J C , Community
Recreation (New York 1929), Jacks, L P , Education
through Recreation (New York 1932), May, Herbert
L , and Petgen, Dorothy, Leisure and Its Use (New
York 1928), Rives, Paul, La con ce dejoie (Pans 1924),
Chase, Stuart, "Play" in Whither Mankind?, ed by
C. A Beard (New York 1928) ch xu, Martin,
Lawrence, "The Common Man's Enjoyments" in
Man and His World, ed by Baker Browncll, 12 \ols.
(New York 1929) vol via, p 91-146, Nash, J B ,
Spectatontis (New York 1932); Walker, Stanley, The
Night Club Era (New York 1933), Sterner, J F,
Americans at Play, Recent Social Trends Mono-
graphs (New York 1933), and "Recreation and Lei-
sure Time Activities" in President's Research Com-
mittee on Social Trends, Recent Sonal Trends in the
United States, 2 \ols (New York 1933) vol 11, ch
xviu; Faust, S W , "Community A>pects of Recrea-
tion Legislation in the United States" in Social
Forces, vol v (1926-27) 463-65, Tnrcal, Andrew G ,
Outdoor Recreation legislation and Its Effectiveness,
Columbia University, Studies in History, Economics
and Public Law, no 311 (New York 1929), "Inter-
national Recreation" m Recreation, vol xxv (1931-32)
413-68, Germany, Reichsausschuss der deutschcn
Jugendverbande, and Zentrahnstitut fur Enciehung
und Unterntht, Bildung und Frcizeit, Reports and
Pictures of Geiman Youth Welfare and the Youth
Movement, in German and English (Berlin 1929),
Bouthoul, Gaston, La durce du traratl et ['utilisation
des loisirs> (Pans 1924), Dcpasse, Charles, and Andre",
A , L' organisation des loisirs du trarailleur en Belgique
et a. 1'et ranger (Paris 1931), Kircher, Rudolf, Fair
Play Sport, Spiel und Geist m England (Frankfort
1927), Wood, A E , Community Problems (New York
1928) pt iv , Davie, M R , Problems of City Life (New
York 1932) pt v, Gist, N P , and Halbert, L A ,
Urban Society (New York 1933) ch xvm, North, C
C , 7 he Community and Social Welfare (New York
193 1) p 37-40, 240-60, Fulk, J R , The Mumupalisa-
tion of Play ami Recreation (University Place, Neb.
1922), Ross, E A , "Adult Recreation as a Social
Problem" m American Journal of Soaology, vol. xxiu
(1917-18) 516-28, Ncumtyer, M H , "Recreation
and the Present Depression" m Sociology and Social
Research, vo] xvn (1932-33) 436-42
FOR RFCEN i DEVELOPMI M s IN Pi BLIC RECREATION
IN THE UNITFD STAILS AND OIHER COUNTRIES Pub-
lications of the National Recreation Association
(formerly Playground and Recreation Association of
America), particularly "Tables of Playground and
Community Recreation Statistics for 1932" in Recrea-
tion, vol xxv a (1933-34) 63-95, and Charges and Fees
for Community Recreation Facilities Report of a
Study (New York 1932) See also National Conference
on Outdoor Recreation, Proceedings, vols i-n (Wash-
ington 1924-26), Pan Pacific Conference on Educa-
tion, Rehabilitation, Reclamation and Recreation,
First, Honolulu 1927, Report of the Proceedings
(Washington 1927) p 365-470
FOR AN AN \L~\SIS OF LOC\L RECREATION PROB-
LEMS Various community surv eys, especially Hanmer,
L F , and others, Public Recreation, Regional Survey
of New York and Its Environs, vol v (New York
1928), Molev, Raymond, Commercial Recreation,
Cleveland Recieation Surve> (Cleveland 1920),
Haynes, R, and Davies, S P, Publti Provision for
Recreation, Cleveland Recreation Survey (Cleveland
1920), Indianapolis, Council of Social Agencies,
Leisure of a People (Indianapolis 1929), Lively, C. E ,
Rural Recreation in Tuo Ohio Counties, Ohio State
University, Studies, Graduate School series, Contri-
butions in Rural Economics, no i (Columbus 1927),
Bradford, John, "Recreation in the Small City" in
Amencan Academy of Political and Social Science,
Annals, vol. c\ (Philadelphia 1923) p 251-56, Jones,
W H , Recreation and Amusement among Negroes in
Washington, Howard Umvcrsttv, Studies m Urban
Sociology (Washington 1927), Conference on Educa-
tion, Canada, 1929, Education and Leisure (London
1930).
RECRUITING. See MILITIA; CONSCRIPTION.
RED CROSS. Of the wide flung humanitarian
movements which have arisen during the past
century the Red Cross is the most extensive m
its reach and probably the most popular in its
appeal. To its founders its present scope would
Encyclopaedia of the Social Sciences
182
have seemed an impossible ideal. Their purpose
was to ameliorate the sufferings of war, and
that alone was an undertaking of great difficulty
and complexity. They were by no means the
first to attempt the protection of wounded
soldiers. Military commanders had made agree-
ments with one another; medical services of a
kind had been instituted; a few idealists had
sought to improve sanitation and to transform
carelessness and ignorance into merciful com-
petence. But the results were sporadic and unre-
liable For the most part what meager medical
services existed were considered a conventional
part of the regular military organization and thus
the rightful target of the enemy. Before reform
could become widely effective the world had to
be awakened to humanitarian sentiment and
scientists had to be regarded as essential as
soldiers.
The battle in which the French defeated the
Austnans at Solfenno on June 24, 1859, ^ ur "
nished the immediate conditions for the origin
of the Red Cross. The suffering of the men on
that day made a deep impression on Henri
Dunant of Geneva, who was helping to care for
the wounded. Three years later he published a
little book, Un souvenir de Solfenno (Geneva
1862), in which he called for official recognition
of the neutrality of wounded soldiers and advo-
cated the formation of international organiza-
tions trained in times of peace for the relief of
men wounded in battle. Dunant's book aroused
considerable interest, was translated into several
languages and impressed particularly the So-
ciete" Genevoise d'Utihtc Publique. As a result of
the efforts of the society a conference, attended
by representatives of sixteen European states,
was held in Geneva in 1863. The conference
recommended that relief societies be formed in
each country, to be authorized by the national
governments to cooperate with the army medical
services. The following year a diplomatic con-
ference, convoked by the Swiss Federal Coun-
cil, signed a convention in which the govern-
ments represented agreed to sanction the forma-
tion of relief societies, to acknowledge the
neutrality of wounded men and of all persons
and services engaged in their relief and to
recognize the emblem of a red cross on a white
ground, to be used not only by army medical
services but also by official organizations assist-
ing them. The principles of the Geneva con-
vention were extended to naval warfare in 1899.
Other diplomatic conferences, attended by
delegates of the national societies and by repre-
sentatives of governments that signed the Geneva
convention, have supplemented and made more
explicit the provisions of the original treaty. By
the end of 1864 the Geneva convention had been
signed by nearly all the great European powers.
The United States, occupied at the time with
the Civil War and impeded later by official de-
lays and indifference, did not sign until 1882,
becoming thereby the thirty-second nation to
ratify the convention. In 1930 there were fifty-
seven officially recognized societies, covering
practically the entire world, with a total member-
ship of about twenty million persons. In Turkey,
Egypt and part of Russia a red crescent has been
substituted for the red cross, and the emblem
of the Red Lion and Sun is recognized as
equivalent in Persia.
The organization of the Red Cross is ex-
tremely decentralized. The International Red
Cross Committee is the official central body, but
it has no governing functions. Its twenty-five
members, five of them honorary, are all Swiss
citizens, and they serve without remuneration,
assisted by a secretariat and by special delega-
tions. Expenses, amounting to about 150,000
gold francs a year, are covered by subventions
from the national societies and by the income
from an inalienable capital fund. The interna-
tional committee supervises a vast amount of
miscellaneous research and case work. It has
founded in Geneva an international institute for
the study of ambulance material and has spon-
sored regular international meetings, including
representatives of army medical services, to
consider the problems of standardizing am-
bulance services. By means of commissions of
experts and research activities it has attempted
to devise ways of protecting civilians from the
effects of chemical warfare, and it has also been
active in the campaign for its abolition. During
and after the World War the committee was
concerned especially with the question of war
prisoners, inaugurating visits of inspection to
prison camps and administering aid to prisoners
and their families. After the war the League of
Nations turned to the International Red Cross
Committee for the work of repatriating 650,000
prisoners of war still on enemy territory. Various
legal and procedural questions which confront
the Red Cross, such as communication with the
citizens of a blockaded country, protection of
civilians in enemy territories, administration of
Red Cross relief in naval warfare and interna-
tional organization of relief for disasters at
sea, are also considered by the international
Red Cross
183
committee, and where necessary its recommen-
dations are submitted to diplomatic conferences
for decision. Shortly after its formation the
committee began the publication <tf a bulletin,
and in 1925 the Annuaire de la Croix-Rouge
internationals was inaugurated. Since 1929 this
has been published jointly by the committee and
the League of Red Cross Societies.
The separate national societies are entirely
free in their organization and administration, but
each of them, whatever its internal organization,
is headed by a central committee which repre-
sents it in all its international relations. There
are a few principles enunciated by the inter-
national committee to which all subsidiary
societies must conform. In any country there
can be only one official Red Cross society; this
society must be recognized by its government
as an auxiliary to the army medical service and
its government must have accepted the Geneva
convention; membership must be open to all
nationals, without discrimination as to sex,
religion or political opinion; the scope of its
activity must include the entire national terri-
tory and must embrace all appropriate aspects of
military medical service.
The work of the Red Cross during the World
War brought it dramatically to the focus of
public attention. Membership, contributions
and enthusiasm for its program increased so
greatly that it took on the nature of a public
trust; and when active hostilities were over, its
services were found to be even more essential
than before. Starving, disease ridden popula-
tions needed supplies and care; disabled men
needed homes and training; regions devastated
by the war and torn by civil strife needed help
as sorely as had the forces in international con-
flict. Even before the war the necessity of Red
Cross services in peace time had been discussed
and some societies, especially the American,
had extended their activities to include relief in
time of disaster. But now the abstract principle
was vitalized by urgent demands. Henry P.
Davison, the chairman of the war council of
the American Red Cross, led the way in forming
an organization to cope with the situation.
Early in 1919 a committee of representatives
from the Red Cross societies of France, Great
Britain, Italy, Japan and the United States
was formed to consider plans, and on May 5,
1919, the League of Red Cross Societies was
set up in Paris. All national societies are eligible
for membership in the league, but their affilia-
tion is entirely voluntary. By 1930, when the
Turkish Red Crescent became a member, all
the national societies had joined. The purpose
of the league is to afford a central organization
for the humanitarian activities, both national
and international, of the Red Cross in times
of peace, and one of its fundamental principles
is absolute freedom from political and religious
discrimination. Its expenses are met by volun-
tary contributions from the constituent so-
cieties. The league cooperates with the In-
ternational Red Cross Committee, especially
in the administration of relief work, and also
maintains close relations with other welfare
organizations.
The relief division of the league was formed
in 1924 to organize and coordinate Red Cross
activities in this field and to serve as a bureau
for research and information. In times of famine,
epidemics, cyclones, earthquakes and floods,
the Red Cross has proved such a reliable instru-
ment for prompt and effective assistance that its
service in disaster relief has developed into one
of its most important functions. In 1921 Senator
Giovanni Ciraolo, honorary president of the
Italian Red Cross, suggested the formation of
a federation for the administration of interna-
tional disaster relief. The projected Interna-
tional Relief Union would provide for the
coordination of all relief agencies in times of
international disaster. While the national Red
Cross societies would not necessarily be the
representatives of their respective governments
in the union, they undoubtedly would fulfil
this function in many cases; and in any event
the Red Cross, which has so distinguished itself
in this work, would have an essential position
in administration and execution. Under the
auspices of the League of Nations a convention
providing for such an organization was signed
by thirty governments in 1927. It will become
effective when ratified by twelve governments
and when the subscription of 420,000 gold
francs has been guaranteed.
In the field of public health the League of
Red Cross Societies cooperates with existing
institutions and serves as a center for informa-
tion and propaganda. It publishes World's
Health, a quarterly review in English, French
and Spanish, and also a monthly Information
Bulletin. It maintains a close relationship with
the public health organizations of the League
of Nations. A Nursing Division was formed in
1919, which advises the national societies in
problems concerning the training and activities
of nurses. Two international courses designed
184
Encyclopaedia of the Social Sciences
to meet the needs of Red Cross nursing have
been established in London.
About three fourths of the national societies
have regular provisions for children's member-
ship, and the League of Red Cross Societies
maintains a separate Junior Division to coordi-
nate this work. The Junior Red Cross teaches
school children the elements of healthful living
and attempts to inculcate in them a sense of civic
responsibility. In a majority of the countries
which have a Junior Red Cross special children's
magazines are published. There are over eleven
million junior members in the various Red
Cross societies; nearly seven million are in the
United States and there are another million or
more in Japan.
In the 1920*8 there was a growing conviction
that some kind of central supervisory body was
needed to coordinate representatives of the
various organizations of the Red Cross. For this
purpose an agreement was reached in 1928 to
institute an International Red Cross Conference,
which should be the supreme deliberative body
of the International Red Cross, composed of the
International Red Cross Committee, the na-
tional societies and the League of Red Cross
Societies. It was decided that the conference
would meet every four years, at shorter intervals
when desirable, and would be convoked by the
central committee of a national society, by the
international committee or by the league. By
this means the single, loosely connected societies
have become united in an international federa-
tion, which will give them the benefit of inter-
relationship without in any way impairing their
independence.
Some notion of the extent and financial im-
portance of Red Cross peacetime activities may
be gained from a survey of the expenditures on
disaster relief by the American Red Cross So-
ciety between the years 1881 and 1931. During
this period a total of over $94,000,000 was
spent for the relief and rehabilitation of victims
of more than a thousand disasters in the United
States and abroad Conspicuous among them
were the following: San Francisco earthquake
and fire (1906), $9,720,131; Messina earthquake
in Sicily (1908), $1,012,000; Ohio River valley
floods (1913), $2,472,287; influenza epidemic
(1918), $1,680,000; Chinese famine (1920-21),
$1,234,696; Japanese earthquake (1923), $11,-
768,802; Florida hurricane (1926), $4,485,604;
Mississippi River floods (1927), $17,498,902;
West Indies hurricane (1928), $5,933,726;
United States drought (1930-31), $10,894,836.
Since the beginning of the economic depres-
sion in 1929 the program of the Red Cross has
been extended to include unemployment relief,
particularly * in rural communities and small
towns devoid of other organized welfare agen-
cies By acts of Congress in 1932 the Red Cross
was authorized to distribute a total of 85,000,000
bushels of government owned wheat to needy
families in the United States and its territories.
In 1932 and 1933 Congress assigned 844,000
bales of cotton to the Red Cross for the same
purpose. The conversion of this raw material
into flour and clothing and the administrative
costs involved in the distribution to over 25,-
000,000 beneficiaries entailed an outlay of
$735,000 on the part of the Red Cross.
The World War of course marked a high point
in Red Cross expenditures in both neutral and
belligerent states. Exact statistics are difficult
to obtain because of the diversity of activities
undertaken by the Red Cross and the overlap-
ping or coordination in certain types of service
with other social and welfare agencies The
record of the American Red Cross is, however,
indicated in reports compiled shortly after the
close of the war In addition to $28,978,000
spent in the United States the American society
extended war relief to twenty-five foreign coun-
tries, disbursing a total of over $120,000,000.
Chief among these countries with approximate
expenditures for each were: France $57,207,003;
Belgium, $3,875,161; Italy, $11,972,819; British
Isles, $11,267,304; Switzerland, $5,972,777;
Russia, $2,240,167; Siberia, $8,225,769; Balkan
countries, $4,569,868; Palestine and the Near
East, $8,320,211.
Equally impressive was the contribution of
the British Red Cross Society, which, working in
conjunction with the Order of St. John of Jeru-
salem, reported a war relief expenditure of more
than 20,000,000 between October 20, 1914,
and June 30, 1920. This figure, which is exclu-
sive of the separate amounts spent by each so-
ciety between August 4 and October 20, 1914,
comprised funds for the provision of hospitals,
medical and surgical equipment, transportation
of the wounded, inquiries for injured and miss-
ing men, services in connection with prisoners of
war and grants toward the aftercare of sick and
disabled ex-service men. British Red Cross ac-
tivities were extended to Egypt, the Balkan
countries and Russia as well as to France and
Belgium. Mention should be made also of the
operations of the other Red Cross societies
within the British dominions, especially those of
Red Cross
Canada, Australia and South Africa. These or-
ganizations, although nominally branches of the
British Red Cross, functioned as separate units
with respect to their activities, revenues and
expenditures
Funds for the support of Red Cross societies
are in most countries derived from membership
fees and from popular subscriptions In 1906
the American Red Cross had 9262 members and
in May, 1917, immediately after the United
States entered the war, it had nearly 500,000
adult members. Before the year was over mem-
bership had increased to 22,000,000 and toward
the end of the war it reached a total of 35,000,-
ooo, or approximately one third of the population
of the country. There are various classes of
membership ranging from the payment of one
dollar annually to one hundred dollars. Money
realized through certain of these types of mem-
bership is set aside as a national endowment,
while the remainder is utilized for current re-
quirements With the lessening demands made
upon the Red Cross for war and post-war activi-
ties, membership in the majority of countries
declined during the decade following the World
War, a reduction which was of course accelerated
by the economic depression beginning in 1929.
In that year the American Red Cross reported
slightly more than 11,000,000 members, includ-
ing adults and children. In Japan the figure was
approximately 4,000,000. The Italian and Ger-
man Red Cross societies had memberships of
over 1,000,000 and a dozen other societies re-
ported more than 100,000 members each.
In time of war, disaster or other emergency
popular subscriptions are usually called for to
finance Red Cross undertakings. In the United
States these are often given official endorsement
through proclamation by the president, who
also serves as president of the Red Cross In a
few instances local governmental aid has been
made available for Red Cross activities After
the Ohio River floods of 1913, for example, the
Ohio legislature appropriated $250,000 for flood
relief and entrusted its administration to the Red
Cross. Federal assistance usually comprises the
provision of services, such as transportation and
communication facilities in time of disaster and
the furnishing of equipment, tents, cots, blankets
and other emergency supplies. In certain metro-
politan centers, notably Cleveland, the local
branch or chapter of the Red Cross is a member
of the community chest through which funds
are obtained for the support of welfare organiza-
tions throughout the city and county
During the World War, in addition to the
regular annual membership roll calls, two special
drives were held to raise funds for Red Cross
activities. The first appeal made in 1917 for
$100,000,000 was oversubscribed by nearly $15 ,-
000,000; a second drive the following year for
$100,000,000 resulted in a total subscription of
$182,000,000 Altogether, through membership
campaigns and special emergency appeals, the
American Red Cross collected nearly $400,000,-
000 to carry on its war activities.
In England more than 20,000,000 was raised
for the Red Cross war work, which included
some 17,000,000 reah/ed through donations,
organized collections and gifts of supplies and
approximately 618,000 in government grants.
The campaign for Red Cross contributions was
conducted largely under the auspices of the
London Times, which for over four years opened
its columns to the society's propaganda and
supervised the collection of funds.
ELIZABETH TODD
GLADYS MEYERAND
See HUMANITARIAN ISM, WAR, WAR* ARE, DISASTERS
AND Disarm RELIEF, REFUGhhs, NURSING, PUBLIC
1 ILALTH
Consult Barton, Clara, The Red Cross; a History
(Washington 1 898), Dunant, J H , Un souvenir de Sol-
fenno (3rd ed Geneva 1863), tr by A B II Wright
as The Origin of the Red Cross (Philadelphia 1911),
Magill, James, The Red Cross, the Idea and its De-
velopment (London 1926), McMurrich, J Playfair,
"The Origins of the Red Cross Movement" in Um~
versify Magazine, vol \M (IQI?) 204-15, Boardman,
M T , Under the Red Cross Plag (Philadelphia 1915);
League of Red Cross Societies, Origin, Activities,
Purposes (rev ed Pans 1926), Red Cross, The Red
Class, Its Inttrnational Organization (Pans 1930);
American National Red Cross, Tht Work of the Amer-
ican Red GYovs during the War; a Statement of Finances
and Accomplishments . . . July i, 1917 to February
28, fpip (Washington 1919), Dock L L , and others,
History of Ameruan Red Cross Nursing (New York
1922), Davison, H. P , The American Red Cross in the
Great War (New York 1919), Pickett, S. E , The
American National Red Cross (New York 1923);
Deacon, J B , Disasters and the American Red Cross in
Disaster Relief (New York 1918), Bakewcll, C. N., The
Story of the American Red Cross in Italy (New York
1920), British Red Cross Society and the Order of St.
John of Jerusalem, Report ... on Voluntary Aid
Rendered to the Sick and Wounded at Home and Abroad
and to British Prisoners of Wat, igi^-iQig (London
1921), Des Gouttes, Paul, "Ixi Croix -Rouge pendant
et depuis l.i guerre mondiale" in Vie despeup/es, vol, ix
(1923) 958-79, Deutsche Rote Kreuz, Ihlfswille und
Hilfswerk des Roten Kreuses in Deutschland (Munich
1928), Soviet Russia Medical Relief Committee, Med-
ical Relief Work in Soviet Russia, Publication no 2
(New York 1921), Tucker, Invm St. John, Soviet
Russia and the Red Cross (Chicago n.d.); Hames, A.
i86
Encyclopaedia of the Social Sciences
J., Health Work in Soviet Russia (New York 1928) ch.
xvi; League of Nations, International Conference for
the Creation of an International Relief Union, Geneva
1927, Official Instruments Approved by the Conference,
Publications, igzy.V.iy (Geneva 1927) See also the
Annual Reports of the American National Red Cross,
published in Washington since 1900.
REEVES, WILLIAM PEMBER (1857-1932),
British statesman and social economist. Reeves
was born in New Zealand; after studying for the
bar he turned to journalistic activities and later
to politics. Both as a practical politician and as
a descriptive writer he was the leading exponent
of the state socialism of New Zealand. His
socialism was drawn partly from his study of
Utopian experiments, which he described in
Some Historical Articles on Communism and So-
cialism (Christchurch 1890). It was based even
more upon the empirical necessities of a young
country: in the i88o's New Zealand was suffer-
ing a severe depression, aggravated by land
monopoly, unregulated immigration and the
aftermath of a borrowing boom; and unemploy-
ment, low wages, sweatshops and labor abuses
were rife. Reeves entered the New Zealand
Parliament in 1887, in 1891 became minister of
education and justice and the following year
minister of labor in the newly formed Liberal-
Labour cabinet. He was instrumental in shaping
the experimental legislation of the period both
in its general trend toward state socialism and
in the various specific measures which resulted
in the building up of a most comprehensive and
effective labor code. The most discussed item
in this code, establishing the system of com-
pulsory arbitration, was introduced by Reeves
in 1894.
From 1896, when he went to London as agent
general, Reeves resided in England. In 1898 he
published The Long White Cloud (London, 3rd
ed. 1924) and in 1902 State Experiments in Aus-
tralia and New Zealand (2 vols., London). He
was active also in the Fabian Society and wrote
several of its early tracts during the period in
which the apparent success of the state socialist
experiments in New Zealand exercised consid-
erable influence upon the development of so-
cialist thought in England. In 1908 he became
director of the London School of Economics and
Political Science, a position which he retained
until 1919; his main influence was in the broad-
ening of teaching and research, especially in
applied economics, and the closer interrelation
of the various social sciences. In 1917 he became
chairman of the directors of the National Bank
of New Zealand, and gave his entire time to this
enterprise from 1919 until his death.
J. B. CONDLIFFE
Consult: Condhffe, J. B., New Zealand in the Making
(London 1930); Siegfried, Andre 1 , La democratic en
Nouvelle Zelande (Pans 1904), tr. by E. V. Burns
(London 1914).
REFERENDUM. See INITIATIVE AND REFER-
ENDUM.
REFORMATION
LUTHERAN. In many respects the Reformation
may be said to mark the beginning of a new era
in the history of the European church and of
European culture in general. It destroyed the
monopoly of the mediaeval ecclesiastical hier-
archy headed by the pope at Rome (see RE-
LIGIOUS INSTITUTIONS, CHRISTIAN, section on
ROMAN CATHOLIC; PAPACY) and thereby reduced
the Catholic church to the comparatively modest
status of one among many confessions (see RE-
LIGIOUS INSTITUTIONS, CHRISTIAN, section on
PROTESTANT; PROTESTANTISM). But at the same
time it should be emphasized that in its attacks
on Roman papalism and traditional church in-
stitutions the Reformation constitutes in a very
real sense the climax and convergence of a
number of older forces which may be traced far
back into the Middle Ages For many genera-
tions there had been groups, clerical as well as
secular, which were antagonistic to the system
of ecclesiastical centralization dominated by the
papal Curia and outspoken in their opposition
to the extravagant claims of the Roman popes.
During the bitter fight between church
and state which had flared up intermittently
throughout the Middle Ages from the time of
Henry n to Louis of Bavaria, the German em-
perors, as professed heirs of the Caesars and
as exponents of the ambitious doctrines of
Caesaropapism, had repeatedly challenged the
theory of Roman supremacy expounded by the
popes. A long line of publicists in the service of
the various emperors had not only helped to
weaken the faith of many believers as to the
omnipotence of the pope but had served, even
after the dwindling of imperial power in the
fourteenth century, to keep alive the tradition
of an "Emperor-Redeemer," who should as-
sume his rightful place as spiritual and temporal
leader of the universe. The significance of this
imperial, antipapal tradition as a factor in pre-
paring the way for the Reformation is indicated
by the fact that when in 1519, on the death of
Red Cross Reformation
Maximilian I, his grandson Charles v ascended
the throne with the declared intent of reasserting
and reestablishing imperial primacy, he was
overwhelmingly acclaimed by those insurgent
groups which sought to reform the abuses aris-
ing out of excessive papalism. In his inaugural
Wahlkapitulation he pledged that no German
should be delivered over to the Roman tribunal
without first being tried in Germany a pledge
which allowed Luther to stand trial in his native
land. Although subsequently Charles himself
proved to be a vigorous if unavailing antagonist
of the Reformation movement in its later stages,
the subversive forces of antipapahsm and anti-
Romanism in Germany drew strength from the
traditional associations clustering around his
office as Germanic head of the Christian world.
In drawing up his epoch making manifesto of
1520, On the Christian Nobility of the German
Nation, Luther not only invoked the sentiments
of German nationalism aroused by Charles'
recent accession but also built upon a tradition
which inside the church itself had for more than
a century been combating with increasing vigor
the claims of the popes to unqualified suprem-
acy. The conciliar ideal of rooting out papal
abuses had continued to inspire various schools
of ecclesiastical reformers long after the leaders
of the conciliar movement (q v ) proper had been
manoeuvred into compromising with the forces
of papalism. The desirability of convoking a free
council was advanced in nearly all the pamphlets
and tracts of the fifteenth century and there was
prolific argument as to whether the new council
should be summoned by the emperor or by the
pope, whether its personnel should include lay-
men and whether it should aim merely at cor-
rection of manners or at a reconstitution of the
entire church.
Similarly the autonomous national church,
which has frequently been pointed to as the par-
ticular creation of the Reformation, traces its
origins to the later mediaeval period. As a means
of repressing the democratic and regionalistic
forces withm the church the popes of the fif-
teenth century had entered into a number of
concordats with the various national monarchies.
Their main purpose was achieved but at the
same time the new arrangement served to bring
ecclesiastical institutions under the sway of the
newly consolidated temporal powers. As the
prince assumed ever greater control over the
monasteries and churches in his realm, imposing
heavy contributions and nominating bishops and
priests, the framework of a purely national
church, independent of the pope, began to
emerge. This national church therefore was es-
sentially a mediaeval creation and merely sup-
plied one of the foundations for the Reforma-
tion.
The Reformation movement in the towns
likewise conformed to older patterns, particu-
larly in respect to social alignments. For at least
a century there had been developing an antago-
nism between the patricians and the commune,
which was generally organized into guilds of
handicraftsmen; in other words, between the
conservative financial interests and the demo-
cratic artisanry This social and economic align-
ment was paralleled by a cleavage between cleric
and layman. With practically no exceptions the
Reformation recruited its adherents from the
guilds and the laymen, while the forces support-
ing the ecclesiastical status quo were concen-
trated to a very large degree in the aristocracy of
wealth and the priesthood. In Basel, Munster,
Constance, Strasbourg and other metropolitan
seats the Reformation finally effected a solution
of the old struggle over the rights and privileges
of the burghers. The administrative organization
adopted in the Reformation towns followed a
more or less uniform pattern: at the head a
magistrate; assisted by Protestant ministers who
were intent upon checking magisterial arbi-
trariness and upon preserving the rights of the
church; and, finally, charitable works to prevent
poverty and beggary. The truth of the popular
mediaeval saying, "Urban air is free air," drew
into the tolerant atmosphere of the towns such
freethinkers and nonconformists as Sebastian
Franck, Kaspar von Schwenkfeld and David
Joris.
In any analysis of the forces which were pre-
paring the way for the Reformation considerable
weight must be given to the piety prevailing
among the masses of the people. When measured
by popular standards of devoutness, the im-
morality, the mercenary greed and above all the
hypocrisy of large numbers of priests seemed
particularly unforgivable. "Once we meet God
face to face we shall lament to Him that we are
not permitted to kill the parson," sang the troop
of pilgrims at Niklashausen on Tauber. But the
\\idely current image of a papal Antichrist,
wallowing in luxury and debauchery at Rome
and draining the resources of the faithful,
aroused such hatred on the part of the people
against the head of the ecclesiastical system that
the shortcomings of his priestly subordinates
seemed comparatively trivial. Here again, how-
Encyclopaedia of the Social Sciences
188
ever, the Reformation in revolting against the
decadent luxury of the papal Curia and in point-
ing out by way of contrast the purity of the
primitive Christian church was essentially a
continuation of certain older currents in the
mediaeval church. The Amalncians, the Joa-
chimites, the Waldenses and numerous other
heresies during the Middle Ages had deplored
the abandonment by the pope of the ways of
apostolic simplicity and Biblical purity and
dreamed of a return to the golden age of the
church as it was supposed to have existed in the
days before Constantme, allegedly, had cor-
rupted the papacy by endowing it with terri-
torial holdings. Even in mediaeval monastic
communities, such as the Brethren of the Com-
mon Life, the Begumes and Beghards and the
Bursfeldian congregation, which did not reach
the stage of open heresy, piety, free from mate-
rialistic greed, was zealously cultivated. In the
more abstract field of dogmatic theology the
rationalism of the Thormst realists had grad-
ually been leavened with the postulates of the
nominalists so familiar later to Luther as to
the awe inspiring holiness of a divine will which
man in his separate earthly sphere could glimpse
only through revelation. For many generations
in fact the Catholic church had been troubled in
spirit, and the soil of the Christian faith was
ready for a new sowing.
Although the Reformation may thus be said
to have carried to completion the ecclesiastical
and theological work of the mediaeval insur-
gents, it was also heavily conditioned by the new
cultural and economic forces which were rapidly
ushering in the modern system of capitalism.
The transformation of natural economy, the ex-
pansion of commerce, the discovery of unknown
lands, had generated a new mobility in the eco-
nomic sphere. The great banking houses of
Fugger and Welser were taking the lead in ac-
cumulating capital wealth. A new and more
energetic way of life was introduced, which even
when not explicitly antipathetic to the church
was on the whole indifferent to ecclesiastical
problems. Flourishing schools grew up in the
towns, and in the higher spheres of thought and
creative art the humanist scholars and the
painters of the Renaissance were evolving a
culture which by recapturing the spirit of pagan
antiquity sought to restore man to a more cen-
tral place in the universe. The scholarly re-
searches no less than the general temper of the
Renaissance humanists exerted a marked influ-
ence on the ideology and program of the Refor-
mation. Erasmus* translation of the New Testa-
ment (1516), conceived as both a philological
work and a document of moral reform, proved
an invaluable aid to Luther and other Reforma-
tion leaders, who in general drew upon the edi-
torial and exegetic work of the scholars Further-
more with the spread of a scientific outlook the
increasing heterogeneity of religious beliefs be-
gan to be accepted as the natural process
whereby the one divine Logos revealed itself in
manifold forms. This type of humanist tolerance
spread if not to Luther himself at least to such
freethinkers as Melanchthon, Zwmgli, Hutten
and Franck as well as to the Anabaptists and the
Socinians.
But however great a role broader historical
and cultural developments may have played in
preparing the way for the Reformation, the
purely individual and spiritual factors as per-
sonified in the restless monk of Wittenberg must
be recognized as the immediately detonative
force. Luther's emphasis on justification by
faith alone contained, to be sure, numerous im-
plications as to the proper regulation of state,
church and society; but Luther himself, con-
fronted throughout his active career with an
ever shifting set of problems, was in no position
to work out these implications systematically.
In the mam it was left to his adversaries to trace
the ultimate consequences of his thought. Thus,
although it clung consistently to a few basic es-
sentials, such as free preaching of the gospel of
justification by faith and the holding of sacra-
ments in the manner prescribed by Christ
Himself, the Lutheran Reformation, in striking
contrast to the Calvimst, was essentially a proc-
ess of flexible adaptation to new situations as
they arose.
In 1517 Luther published his ninety-seven
theses repudiating the mediaeval sacrament of
penitence and the sale of indulgences as prac-
tised by the representatives of the pope. In 1519
in the course of the Leipsic controversy with
Eck he denied the jus divinum of the papacy as
well as the infallibility of conciliar decrees and
proclaimed as the only true authority Holy
Scripture interpreted by faith. In 1520, stimu-
lated by the outburst of national enthusiasm for
the new emperor, he issued his famous mani-
festo On the Christian Nobility of the German
Nation, which sketched a comprehensive agenda
to be taken up by a free council composed of
princes and laymen and presided over by the
emperor. As spokesman of the German nation
he protested against the tyranny of pope, cardi-
Reformation
nals and bishops, against the superstition of the
people as manifested in pilgrimages and venera-
tion of relics and against the celibacy of priests.
He called upon the civil power to assume re-
sponsibility for prohibiting luxury, brothels and
usury and upon the towns to set up boards of
charity.
But the most far reaching and influential of
his utterances was the strictly religious procla-
mation as to the universal priesthood of all true
believers. In view of the fact that in the Catholic
church all avenues of salvation are controlled by
the priest, the elimination of a professional
priesthood, as Luther recommended, implied
the end of the Church itself. At an earlier stage
Wychffe had championed the ideal of a priest-
less church, but he had been unable to transform
this ideal into reality. Luther, however, ruling
out the conventional forms of mediation between
God and man, succeeded in establishing the
autonomous parish with a vicar elected and if
necessary deposed by the parishioners. On De-
cember 10, 1520, Luther, in the act of burn-
ing the papal bull of excommunication and the
books of canon law, broke categoi ically with the
mediaeval church In the course of his trial the
following year at the Diet of Worms he pleaded
for the rights of the individual conscience as
against all human authorities, and although he
himself repeatedly emphasised that this liberty
of conscience was to operate only within the
limits of the truth as contained 111 the Scriptures,
a great stride had been made toward genuine
freedom of belief.
By 1525 the attempt of the fourth estate to use
the ideology and dynamic of the Reformation as
a means of improving its own social and eco-
nomic fortunes had come to a head in the Peas-
ants' War. Although the Reformation cannot be
said to have caused this revolt, it was beyond
doubt a contributing factor, as can be seen from
the change undergone by the peasants' program
after the outbreak of the Reformation Their
later insistence on free election of vicars, free-
dom from taxation, free fishing, free forest and
pasture in the name of Chribt the Redeemer,
was in part a reflection of Luther's teaching and
in part a misreading of the new religious
formula, "freedom of the Christian individual."
Luther had denned religious liberty as the
mastery of the true Christian over all things; the
peasants interpreted this definition as implying
that they were no longer compelled to perform
the services imposed by clerical and lay land-
lords. In the early days of the revolt Luther,
although deploring this confusion of religious
and economic issues, was anxious for a peaceful
solution and therefore urged the landlords to
remedy the abuses cited by the peasants in their
Twelve Articles of grievance. But once the
peasants had resorted to violence and arson, he
issued his vehement pamphlet Against the
Thieving and Murderous Bands of Peasants,
which authorized the magistrates to use what-
ever force might be necessary in subduing the
rioters. Luther was not inclined to be subser-
vient to princes, but he exacted strict obedience
to those in authority, both in this world and in
the next.
The rapid spread of the Reformation move-
ment throughout Germany in the period after
1525 may be attributed in large part to the con-
tagiousness of a new and dynamic religious en-
thusiasm and faith. But at the same time it was
forwarded by incidental factors of a more nega-
tive and secular character. In the first place, the
emperor Charles v, \\ho as claimant of universal
supremacy in the spiritual as well as the tem-
poral spheres would naturally be opposed to a
radically regionalize movement within the
church, was preoccupied during the early years
of his reign with international and domestic
complications of a strictly political and diplo-
matic nature. It was not until the 1540*8 that he
was in a position to concentrate on stamping out
the forces of religious heresy in the German
sections of his extensive empire, and by that
tune the Reformation movement had taken such
firm hold that he was powerless to eradicate it.
Similarly, although for a different reason, the
princely electors who headed the various
Lander in Germany could offer but feeble re-
sistance to the subversive forces of insurrection.
In the great majority of cases the territorial
prince was at the mercy of his estates, which
controlled the territorial finances and used this
control as a means of enforcing their demands
for thoroughgoing ecclesiastical reform. This
antagonism between the regional prince and the
regional estates was in fact one of the most
powerful factors contributing to the progress of
the Reformation. Even when the entire ma-
chinery of the Holy Roman Empire was brought
into play, as in the case of the diets, the standing
orders were so stilted and involved that there
was almost invariably a fatal delay in their exe-
cution. As a result the diets of Worms, Nurem-
berg, Augsburg, Regensburg and the others
which punctuated the Reformation movement
were more in the nature of breathing spells than
Encyclopaedia of the Social Sciences
190
effective agencies of compromise and pacifica-
tion.
The organization of territorial churches, as
provided by the Diet of Speyer in 1526, was
carried out by Philip of Hesse, who likewise
served as head of the political league of Protes-
tants set up by the Second Diet of Speyer three
years later. At the Diet of Augsburg in 1530 the
Lutherans drew up their first confession. Fol-
lowing the defeat of the Schmalkalden the Peace
of Augsburg in 1555 transferred the jus refor-
mandi to the sovereigns, who pronounced them-
selves adherents of the Augsburg Confession of
1530. Henceforth the principle of cujus regio
ejus religio left the matter of religious control to
the discretion of the regional princes. Although
as a result of the Peace of Munster and Osna-
bruck in 1648 Lutherans, Calvinists and Catho-
lics were eligible for toleration, the more spir-
itualistic religious sects, such as the Anabaptists,
were excluded, chiefly on the ground of their
belief in free will.
The chief centers of Lutheranism in Germany
were Saxony in the north, Hesse in the center,
Nuremberg in the southeast and Wurttemberg
in the southwest. Outside Germany Lutheran-
ism gained its strongest foothold in Denmark,
Sweden and Norway, among the German popu-
lation of Hungary, Transylvania, Carniola,
Corinthia and Styria and in the German towns
in Poland and along the Baltic. It also recruited
a following among many groups in Bohemia and
to a far less degree in France and England,
where it was overshadowed by other types of
reform movements.
As a result of the Counter-Reformation,
which under the leadership of the reform papacy
(q.v.) succeeded to a large extent in eradicating
many of the extreme abuses prevailing in the
later mediaeval church (see RELIGIOUS INSTI-
TUTIONS, CHRISTIAN, section on ROMAN CATH-
OLIC), a number of German territories, notably
the Palatin#e-Neuburg, the Palatinate superior
and the margraviate of Baden were recatholi-
cized. Other territories, such as Bavaria under
the Wittelsbachers and Austria under the Haps-
burgs, which had stood out against the forces of
the Reformation, cooperated fully in the strenu-
ous counteroffensive directed by a variety of
newly created ecclesiastical agencies and re-
ligious orders (q v.) under the leadership of the
Jesuits (q v.). Although the Counter-Reforma-
tion in Germany was in the nature of the situa-
tion much less concentrated than the analogous
movements in Spain and the Netherlands under
Philip n, in France under the Guises or in
England under Mary Tudor and Scotland under
Mary Stuart, the work of such Catholic reform-
ers as Julius Echter von Mespelbrunn, founder
of the University of Wiirzburg, Cardinal
Truchsess von Waldburg at Augsburg, Bal-
thazar von Dernbach at Fulde and Stanislaus
Hosius at Ermland went a considerable distance
toward restoring in modified form Catholic cult
and institutions.
W. KdHLER
NON-LUTHERAN. While the forces leading to
the non-Lutheran Reformation movements were
in general the same as those operative in Ger-
many and Scandinavia, their configuration dif-
fered from country to country. Regional varia-
tions in the character of existing institutions and
modes of life, in the quality of leadership and
group initiative, in relations to the Roman See,
in the rate of economic change and in the chron-
ological order in which the movements mani-
fested themselves gave a particular stamp to the
Reformation in each of the countries.
Next to Germany, Switzerland soon came to
be the main fountainhead of reform. The sources
of the Swiss movement lay first of all in the
effort to establish and safeguard independence
from the empire or from foreign rule; in the
democratic spirit and constitutions of the com-
mercial towns, especially Zurich and Geneva;
in the conflict of municipal with episcopal au-
thority over the control of the church; and in
humanism. The Helvetic Reformation began in
the imperial, guild governed and commercial
town of Zurich, which since 1483 had become
both increasingly democratic in constitution and
increasingly powerful over ecclesiastical affairs
in its jurisdiction. Zwingli, a patriotic priest,
gave new vigor to the movement thus begun,
first under humanist and later more under
Lutheran auspices. His reforms were directed
first of all against indulgences, non-voluntary
tithes, the episcopal government of the church,
the ornateness of worship and the mercenary
Swiss military policy. Opposition to the papacy
and the clergy, to monasticism, to confession
and invocation of saints and finally to the mass
and the use of images and music in the churches
gradually developed, while upon the positive
side the function of preaching was exalted and
the sole authority of the Bible maintained. Yet
the reform was political and social in the first
instance and had less the character of a revival
of religion than had been the case in the Lutheran
Reformation
191
areas. The overt break between Luther and
Zwingli on the subject of the sacrament was
indicative of deeper causes of division: of the
democratic and nationalist nature of the Swiss
reform on the one hand and of its humanism on
the other. Yet Zwingli 's relations with the Ana-
baptist and peasant movements were analogous
to those of Luther.
The Reformation in Geneva, although similar
in its origins, was destined to become far more
important than the Zwinghan movement in
Zurich. The constellation of social forces was
similar: the movement began with the assump-
tion of power over the church by the council in
opposition to a bishop of Italian nationality and
with a protest against clerical abuses and ecclesi-
astical wealth; it proceeded to a second stage,
namely, the simplification arid popularization of
worship and the rejection of hierarchy, mass and
monasticism. Moreover in both centers the
Reformation drew its primary support from the
commercial classes, the country cantons remain-
ing Catholic, and resisted the Anabaptist at-
tempts at separation of church and state and
radical reform of economic and political life.
The differences which developed were largely
due to the leader of the reform in Geneva,
Calvin, who combined with humanist training
and interests a more profound religious and
moral passion as well as legal and governing
ability. Far closer to Luther than Zwingli had
been m his conception of the Christian life as
based upon salvation by faith and the election
of God, far more deeply stirred by the Bible
and the deterministic doctrine of divine sover-
eignty, Calvin directed his reforms not so much
toward the elimination of abuses and the sub-
stitution of state for hierarchical control as
toward the positive program of developing a
holy community. The early negative steps to-
ward reformation had been taken by the citizens
of Geneva under various leaders prior to the
arrival of Calvin. With his advent and as a result
of his activity civic government of the church
was practically replaced by a theocracy in which
the ministers or presbyters became the rulers of
the state. Calvm gave precision and form to the
theocratic rule through the measures which he
adopted in the organization of church and state
and through the highly logical and incisive de-
velopment of his system of thought in the Insti-
tutes / the Christian Religion, a book which
more than any other became the definitive guide
of the churches of the Reformation.
The theocratic rule in Geneva was directed
particularly toward the reform of manners and
morals not only of priests and monastics but
of the people in general; and although Calvin
was unremitting in his attacks on the Catholic
church, his energy was devoted more to the
positive task of organizing Protestantism than
toward that of destroying Catholicism. As a sec-
ond generation reformer he carried on the work
for which Luther, Zwingli and their associates
had laid the foundations. By reason of its rela-
tion to the municipal government and its fear
of the abuses to which unchecked power might
lead the Calvmist reform allowed for a certain
degree of popular participation in government,
but on the whole it subordinated liberty to a
strict principle of authoritarianism. Its rigid
rule was extended over the sphere of economic
affairs, where it was probably more effective,
during Calvin's lifetime at least, than Catholi-
cism had been. In many respects, however, par-
ticularly in its antagonism to luxury, its demand
for thrift and diligence, its exaltation of secular
work as divine vocation and its recognition,
however grudging, of the principle of usury, it
represented the interests of the commercial
classes of Geneva, who \\ere its primary sup-
porters. And after the death of Calvin in 1564
these interests contributed to the gradual modi-
fication of the extreme authoritarianism of the
theocratic regime.
In contrast to Lutheranism, whose permanent
influence was limited in the main to Germany
and Scandinavia, Calvinism became increasingly
significant in the reform movements of other
European countries, particularly of France, the
Netherlands, Scotland and England. In France
one aspect of the Reformation had been antici-
pated in the Pragmatic Sanction of 1438 and in
the Concordat of 1516, which together gave to
the French king a power over the church and a
share in its wealth \vhich German and English
princes and Swiss cities gained only by means
of separation from Catholicism. As a humanistic
and individualistic movement, however, the Ref-
ormation in France began with the writings and
preaching of Lefevre and the growth of popular
interest in the Scriptures. After 1536 under the
leadership of Calvin, who remained constantly
in close touch with the French Protestants, it
took on a more definitely Protestant content*
With some minor vacillations, which may be
attributed in the main to shifts in foreign policy,
the monarchy was vigorous in its prosecution
of Protestantism. Yet the movement gained ad-
herents throughout France, particularly in the
Encyclopaedia of the Social Sciences
192
commercial cities and among the artisans; and
after the middle of the century Protestant
churches, organized on the preshyterian plan,
were established in many places. The increasing
adherence of members of the nobility to Prot-
estantism was greatly expedited after the death
of Henry n (1559) and the passing of the abso-
lute monarchy into the hands of unpopular
regents. During the next forty years Protes-
tantism was involved in the succession of civil
wars, which while nominally wars of religion
were largely dynastic and social in character.
Thanks to the terms of the Concordat of 1516
Francis I and most of his successors remained
loyal Catholics. The masses of peasants, who as
usual identified their interests with the king,
did not offer a congenial soil for the growth of
the Reformation movement. As a result Prot-
estantism in France, although well represented
among the feudal nobility and the bourgeoisie,
never became a popular movement, since the
former group was declining in power and the
latter was never sufficiently strong at this period
to exert a decisive influence.
The salient features in the social background
of the Reformation in the Netherlands were the
struggle of the feudal nobility with the mo-
narchical absolutism of Charles v and Philip II,
the rise of a strong middle class in towns which
had become the commercial capitals of sixteenth
century Europe, the efforts of the guilds to
maintain their ancient privileges in the face of
monarch and rising capitalist, the tendency
toward the national unification of independent
provinces, insistence upon home rule and revo-
lutionary temper on the part of the poor The
humanism of Erasmus inaugurated the Refor-
mation, for which the mediaeval Brethren of the
Common Life with their mysticism and work
m popular education had prepared the ground.
The Dutch towns, being closely related to Ger-
many by commerce and language, were so recep-
tive of Lutheran ideas that by 1527 two thirds
of the population were said to "keep Luther's
opinions." Persecution was constant, but no
open resistance developed until the Anabaptists,
combining political and economic with religious
ideas, attracted many among the lower classes
and rose in revolt. After their sanguinary defeat
this movement was guided into pacifist and sec-
tarian channels by Menno Simons.
Lutheramsm and Anabaptism were succeeded
by Calvinism Its dissemination in the Nether-
lands, coinciding with the abdication of Charles
V and the accession of the Spanish Philip n, was
forwarded by the growing antagonism of the
people to foreign rule and increase in taxation.
Because of its readiness to resist aggression,
its principle of organization and its attraction of
middle class groups which had been untouched
either by Lutheranism or by Anabaptism, Cal-
vinism developed a strength which the other
Protestant movements had lacked. The war
which ensued had the combined characteristics
of a war of independence, a civil war waged in
the interests of constitutional and republican
government and of national unity, and a religious
war. The lines of cleavage varied: large sections
of Catholicism supported the war for independ-
ence, but on the whole the Protestant, middle
class and urban, nationalistic and republican
interests coincided, while leadership came from
a few families of the nobility Calvinism was as
much the source of the political and economic
movements as it was their reflection. In the final
result the Netherlands were divided into the
northern, independent, Protestant and semi-
republican United Provinces and the southern,
Catholic, Spanish Netherlands, which had also
gained autonomy although dynastically they
were united with Spain.
The progress of the Reformation in England
was due primarily to more obviously political
interests The separation of the Church of Eng-
land from Rome under Henry vm was not dis-
similar to the separation of the Gallican church,
which had remained Catholic in doctrine and
ritual Political and economic interests played
the chief role; the separation was part of the
program of political absolutism whereby both
the influence and the wealth of the church were
put at the disposal of the monarch. The Refor-
mation as a religious movement was too slight
in sixteenth century England to force upon the
separated church a decisively Protestant char-
acter. Nevertheless, Protestant ideas penetrated
not only into the ranks of the clergy but also
into the urban and merchant groups on whose
support the programs of Henry and Elizabeth
were forced to rely, while under the weak regen-
cies which ruled for Edward vi these groups
exercised an even larger influence. As a result
the doctrines and rites of the separated English
church reflected, while they did not wholly rep-
resent, the current Protestant ideas and prac-
tises. The coincidence of the Catholic reaction
under Mary with a foreign policy which seemed
to subordinate England to Spain identified Prot-
estantism more than ever with nationalism,
while the Protestant use of the native language,
Reformation
particularly in the Scriptures and the Book of
Common Prayer, associated the religious move-
ment with the rise of the national culture. On
the whole therefore religious interests were sec-
ondary to political and national interests in the
sixteenth century Reformation in England The
religious revival and the middle class revolt
against political and ecclesiastical absolutism
appeared much later and combined forces in the
Puritan and parliamentary movement (see PLRI-
TANISM)
In Scotland, on the other hand, the Reforma-
tion appeared as a reaction not so much against
the papacy as against the local Catholic churches
and their priests, while Calvmist ideas of di\me
sovereignty, Biblical authority and the decisive
importance of the Protestant doctrines for eter-
nal salvation were effective at an early stage. On
its political side the Scottish Reformation repre-
sented the desire for national self-determination
against France and England rather than against
the papacy, and this phase of the movement was
carried on not under the auspices of an absolute
monarch but under those of the lower nobility
and of the merchants The weakness of the
monarchs and their dependence upon foreign
support, the strength of the Protestant leader
John Knox, imbued with Calvmist doctrines
and bearer of the Calvmist system of organiza-
tion, were of primary importance m the devel-
opment of the highly Protestant character of the
Scottish church.
Although it is difficult to summarize a move-
ment so diverse as the Reformation, it is evident
that its results were fairly consistent despite
individual differences in the various areas One
consequence was the redistribution of power to
the monarchy and the bourgeoisie, at the ex-
pense of the feudal nobility and the priestly
hierarchy associated with it. Another common
product of the movement was the establishment
of political, religious and cultural autonomy in
the various sections of Europe, even in regions,
such as France and Belgium, where the Prot-
estant religion did not come to prevail. Further-
more the Reformation broke up the mediaeval
system of authority, for although it supplanted
the old authorities with new ones, the latter were
in principle pluralistic and unable to claim for
themselves in the long run the rights which
unified authority is capable of demanding and
establishing. Moreover the Reformation by its
doctrine of the Scriptures inclined political and
religious societies strongly in the direction of
constitutionalism and opened the way to the
principle of individual experience or reason as
the necessary concomitant authority. Redistii-
bution of wealth through the acquisition by
courtiers and middle classes of the church prop-
erties, the relaxation of mediaeval restrictions on
banking and trade, which had a moral rather
than a direct effect, and the Protestant doctrine
of vocation contributed considerably to the rise
of modern capitalism. In these respects chiefly
the Reformation laid the bases of the modern
nationalistic, democratic and capitalistic cul-
tures.
H RICHARD NIEBUHR
See RELIGIOUS INSTITUTIONS, PROTESTANTISM, SLCTS;
PURITANISM, QUAKERS, RELIGIOUS FREEDOM, PAPACY,
JFSUITS, REI IGIOUS ORUFRS, NATIONALISM, CAPITAL-
ISM, INDIVIDUALISM, RENAISSANCE, HUMANISM, Mo-
NARCHOMACHS
Consult FOR COMPRFHFNSIVE ANALYTICAL SURVEYS:
Kruger, Gustav, "Literature on Church History in
Germany, Austria, Switzerland, Holland, and Scan-
dinavian Countries, 1914-1920 III The Reformation
and the Counter-Reformation" in Harvard Theo-
logical Revteti, \ol xvn (1924) 1-49, Wunderhch,
Paul, Die Beiirteilung der Vorreformatton tn der
deutschen Geschichtssihreibimg seit Ranke, Erlanger
Abhandlungen 7ur mittleren und neuern Geschichte,
vol v (Erlangen 1930), Hashagen, Justus, Staat und
Kirche vor der Reformation (Essen 1931), Below,
Georg \on, Die Ursachen der Reformation, Histonsche
Bihhothek, \ol x\\\m (Munich 1917), Lindsay, T.
M , A History of the Reformation, 2 \ols (Ne\\ York
1906-07), Hulme, E M , The Renaissance, the Protes-
tant Rer^olittion and the Catholic Reformation in Con-
tinental Europe (rev ed New York 191 5), Smith, Pre-
scncd, The Age of the Reformation (New York 1920);
Ilauser, II , and Renaudet, A , Let debuts de I'dge
moderne, Peuples et Civilisations, \ol \iu (Pans 1929),
especially p 15 1-304, Moeller, VVilhelm, Lehrbuch der
Kirchengesihichte, 3 \ols (2nd ed bv Hans \on Schu-
bert and Gustav Kavverau, Tubingen and Freiburg i.
Br 1893-1902), tr by Andrew Rutherfurd and J H.
Freese as History of the Christian Church, 3 \ ols (Ixm-
don 1892-1900) \ol m, Kaser, Kurt, Das Zeitalter der
Reformation wid Gegenreforniation ron 15171660, 2
vols (Gotha 1922-23), Fueter, Eduard, Geschtchte des
europaischen Staatcnsy stems ron i}Q2-ic;cjO, Hand-
buch der rruttel.tltcrhch.cn und neueren Geschichte,
pt u (Munich 1919), Bauer, Wilhelm, Die offenthche
Meinung in der Weltgeschichte (Potsdam 1930) ch.
v 111, Gothein, Eberhard, Schriften zur Kulturgeschichte
der Renaissance, Reformation und Gegeitreforntation,
ed by Edgar Sahn, 2 vols. (Munich 1924) vol n;
Weber, Max, Gesammelte Aufsatse zur Reltgions-
soxwlogie, 3 vols. (2nd ed Tubingen 1922-23), vol.
i tr by Talcott Parsons as The Protestant Ethu and
the Spirit of Capitalism (London 1930), Troeltsch,
Ernst, Die Soziallehren der chnstlichen Kirchen und
Gruppen, his Gesammelte Schriften, vol. i (3rd ed.
Tubingen 1923), tr bv Olive Wyon, 2 vols. (London
1931) vol a, Murray, R H , The Political Conse-
quences of the Reformation (London 1926); O'Brien,
George, An Essay on the Economic Effects of the
Encyclopaedia of the Social Sciences
194
Reformation (London 1923), Robertson, H. M.,
Aspects of the Rise of Economic Individualism (Cam-
bridge, Eng. 1933).
FOR WORKS DEALING IN THF MAIN WITH LUTHER
AND LUTHFRANISM Boehmer, Hemnch, Luther tm
Lichte der neueren Forschung (sth ed Leipsic 1918), tr.
by E S. G. Potter as Luther and the Reformation in
the Light of Modern Research (London 1930), Wolf,
Gustav, Quellenkunde der deutschen Reformatwnsge-
schichte, 3 vols (Gotha 1915-23), Schottenloher,
Karl, Bibliographic sur deutschen Geschichte tm Zeital-
ter der Glaubensspaltung 15171585, vol i- (Leipsic
*933- )> Febvre, Lucien, "Le progres recent des
Etudes sur Luther" in Revue d'histoire moderne, vol i
(1926) 24-47, and Un desltn; Martin Luther (Pans
1928), tr by Robert Tapley as Martin Luther; a Des-
tiny (New York 1929), Mackmnon, James, Luther and
the Reformation, 4 vols (London 1925-30), K&hler,
Walther, Martin Luther und die deutsche Reformation,
Natur und Geisteswclt, \ol. dxv (2nd ed. Leipsic
1917), and Luther und das Luthertum in ihrer welt-
geschichtlichen Auswirkung, Verein fur Reformations-
geschichte, Schriften, no 155 (Leipsic 1933), Denifle,
Heinnch, Luther und Luthertum in der ertten Ent-
wickelung, 5 vols (Mainz 1904-09), tr by Raymond
Volz, vol. i- (Somerset, Ohio 1917- ); Andreas,
Willy, Deutschland vor der Reformation (Stuttgart
1932), Brandi, Karl, Deutsche Reformation und Cegen-
reformation, 2 vols (Leipsic 1927-30), Ilolmquist, H ,
Die schwedische Reformation, 1523-1531, Verein fur
Reformationsgeschichte, Schriften, no. 139 (Leipsic
1925); Pont, J. W., Het eigen karakter en beginsel van
het luthersch proteitantisme in Nederland (Utrecht
1915); Bebel, August, Die deutsche Bauernkriege
(Brunswick 1876), Kautsky, Karl, "Der Kommu-
nismus in der deutschen Reformation" in his Die Vor-
laufer des neureren Soziahsmus, 2 vols. (2nd ed. Stutt-
gart 1909), vol. 11 and part of vol i tr by J. L and
E. G. Mulliken as Communism in Central Europe in the
Time of the Reformation (London 1897); Cnstiani,
Leon, Du lutheramsme au protestantismc (Paris 191 1).
FOR WORKS DFAUNG IN THE MAIN WITH NON-
LUTHERAN MOVEMENTS. Palm, Franklin C , Calvinism
and the Religious Wars (New York 1932), and Politics
and Religion in Sixteenth-Century France (Boston
1927); K6hler, Walther, Ulnch Zwingh und die Refor-
mation in der Schweiz, Rehgionsgeschichthche Volks-
bucher fur die deutsche chnsthche Gegenwart, pt 4,
nos 30-31 (Tubingen 1919), Doumergue, Emile, Jean
Calvin, 7 vols (Lausanne 1899-1927), Hauser, Henri,
Etudes sur la Reforme franf aise (Pans 1909), and Les
debuts du capitahsme (Pans 1927), especially ch. n,
Imbart de la Tour, Pierre, Les ongines de la Reforme,
3 vols. (Paris 1905-14), Vi6not, John, Histoire de
la Reforme francaise (Paris 1926); Thomas, Jules, Le
concordat de 1516, ses ongines, son histoire au xvie
siecle, 3 vols. (Pans 1910), Kelly, C. G., French
Protestantism, 155^-1562, Johns Hopkins University,
Studies in History and Political Science, 36th ser , no.
4 (Baltimoie 1918), Thompson, J. W , The Wars
of Reltgion in France, 1559-1576 (Chicago 1909);
Renaudet, Auguslin, Prertforme et humamsme a Pans
pendant ies premieres guerres d'ltahe (1494-1517),
Institut Francais de Florence, Bibliotheque, ist ser.,
vol vi (Paris 1916), Srruthen, F. J., Continental
Protestantism and the English Reformation (London
1927), Gairdner, Jamea, Lollardy and the Reformation
in England, 4 vols. (London 1908-13); Marti, O.
A., Economic Causes of the Reformation in England
(New York 1929), Workman, H B , The Dawn of the
Reformation, 2 vols (London 1901-02), Gasquet, F.
A , The Eve of the Reformation (3rd ed London 1905);
Constant, Gustave, La Rtforme en Angleterre, vol.
i- (Pans 1930- ), Liljegrcn, S B , The Fall of the
Monasteries and the Social Changes in England Leading
up to the Great Revolution, Lunds Universitets
Arsskrift, n s , pt i, vol xix, no. 10 (Lund 1924);
Sch6ffler, Herbert, Die Anfange des Purttamsmus,
Kolner anghstische Arbeiten, vol. xiv (Leipsic 1932);
Kraus, J B , Scholastik, Puritamsmus und Kapita-
hsmus (Munich 1930), Mathieson, W. L, Politics
and Religion, a Study in Scottish History from the
Reformation to the Revolution, 2 vols (Glasgow
1902), MacEwen, A R , History of the Church in
Scotland, 2 vols (London 1913-18), Pirenne, Henri,
Histoire de Belgique, 7 vols (Brussels 1902-32)
vols in-iv, Menende? y Pclayo, M , Historia de los
hetetodoxos espaiioles, 7 vols (and ed by A Bonilla
y San Martfn and M Artigas y Fcirando, Madrid
1911-32) vol iv and vol. v, bk. iv, Rodocanochi,
E P , La Reforme en Italic, 2 vols. (Paris 1920-21);
Church, F. C , The Italian Reformers, 153 1-1564
(New York 1932), Fox, Paul, The Reformation in
Poland, Johns Hopkins University, Studies in His-
torical and Political Science, 42nd ser., no. 4 (Balti-
more 1924).
REFORMATORIES. See PENAL INSTITUTIONS.
REFORMISM is the name for an attitude char-
acterized by the belief that the improvement or
the salvation of the social order, or both, can
be accomplished through the alteration of some
particular institution, activity or condition. Re-
formers may be, in their general social attitudes,
either conservatives or liberals but they are not
exponents of reformism unless they hold that
some limited and specific rectification or better-
ment or restoration of a social structure or asso-
ciative relation \vill bring about a general im-
provement of society.
The reformer operates on parts where the
revolutionist operates on wholes. The reformer
seeks modifications harmonious with existing
trends and consistent with prevailing principles
and movements. The revolutionist seeks re-
direction of trends, arrest or reversal of move-
ments and mutation of principles. To the re-
former the status quo is essentially healthy but a
little out of gear in this spot or that. To the
revolutionist the status quo is unhealthy and no
part of it is good. Both reformer and revolu-
tionist differ from the liberal in that they are
concerned with complete and cataclysmal
changes; the one in some determinate item, the
other in the social whole. To the liberal, social
change proceeds continuously, from next to
Reformation Reformism
195
next. Its tempo varies, and its consequences are
definite though gradual alterations of the insti-
tutional forms which together compose society.
Since the liberal looks upon society as a his-
torical and mobile growth, he regards the proc-
esses and means of change as more important
than the results of change. But to the reformer
and the revolutionist, society is essentially
structural rather than confluent; and they regard
the social order as a necessary pattern, composed
of parts, each and all of which may be more or
less successfully set up, remodeled and main-
tained. Reformers seek the construction of the
patterns necessary to the right form for this or
that situation. So, such a concept as ballot re-
form assumes that manhood suffrage is right,
that there is a necessarily correct way of exercis-
ing the right to vote, and seeks to define and to
implement this correct way. The steps leading
to the ordination of the Australian ballot, and to
its supplementation by voting machines, are
reforms. Similarly, civil service reform regards
the existing patterns of administrative organi-
zation as good, but endeavors so to reorder the
administrative machinery as to inhibit patronage
and the spoils system and to take officeholders
out of politics by means of competitive examina-
tions, security of tenure and the like "Reform"
schools are postulated on the constancy of
human nature and operated with the purpose of
redirecting human habits. Tariff reform has
analogous attitudes and premises with respect
to markets. So have spelling reform and
temperance reform regarding their respective
fields.
Some ostensibly revolutionary movements
may have reformist programs while many re-
formist movements may have revolutionary
implications. Such, for example, are the single
tax movement in the United States and Fabian-
ism in England. Fabianism has been difficult to
distinguish in its essential direction and goal
from liberalism, and indeed the Fabian Society
always numbered a great many liberals among
its members. The single tax is declared by its
champions to have revolutionary implications.
What would make a reformer of a single taxer or
a Fabian would be staking the solution of all
social problems and the remedying of social
evils exclusively on some one specific individual
doctrine or measure. Prohibitionists are reform-
ers of this order. They advocate prohibiting the
production and consumption of alcoholic bever-
ages as a social cure-all. Single taxers treat their
proposed method of taxation in the same way.
It is this insistent exclusive particularism
which distinguishes the reformer from the
revolutionary as a psychological type. The re-
former might be described as a fetishist, the
revolutionary as an apostle of a new faith. The
Fabianist or the single taxer regards some par-
ticular component of the existing establishment
as of paramount importance in the well being of
the entire structure. The champion of the new
faith desires to abolish established faiths alto-
gether. The reformer does not quarrel with the
totality of the mores He merely wishes to make
some individual component of them dominant.
The revolutionist aims to transform the mores in
toto.
Instances of sheer reformism may be found
but on the whole reformism is usually met
either as an incidental accompaniment of other
attitudes, such as the conservative, the liberal
and the revolutionary, or as a distortion of them.
When it appears as distortion, it goes, as a rule,
with psychopathic traits of the personality, of
the kind commonly to be observed in official and
volunteer censors, in spelling reformers, in pro-
fessional patriots, and in similar riders of
hobbies which give the impression of being
compulsive. In the young, reformism of this
type is often no more than a phase of adolescent
and post-adolescent conflict projected outward.
In the mature it may be the stereotypy of the
youthful condition, or the defensive projection
of an unwonted inner urge.
Within the context of the aggregated totality
of social life, reformers and revolutionists are
simply names for the different focahzations of
the process of social interaction. Reformers
serve as points of division for social forces, now
liberating them, and again damming them up.
They appear al\\ays to function as dynamic and
not inert members of any given social situation
in which they figure. They enter into that
situation as correctives or adjustors, and their
consequences are very rarely congruous with
their powers and intentions. As a rule, the con-
sequences fall far short of, and sometimes, tre-
mendously exceed, that which the reformers
have planned. The cases of ballot reform, civil
service reform and prohibition present out-
standing instances of this ambivalent in-
adequacy.
HORACE M. KALLEN
See: SOCIAL PROCESS; CRITICISM, SOCIAL; CHANGE,
SOCIAL; PROGRESS, EVOLUTION, REVOLUTION AND
COUNTER-REVOLU riON, LIBERALISM, OPPORTUNISM;
FABIANISM, FANATICISM, Civic ORGANIZATIONS.
i 9 6
Encyclopaedia of the Social Sciences
REFRIGERATION. While the use of natural
ice and snow for the preservation of meat and
fish has been employed sporadically ever since
prehistoric times, the origins of the modern in-
dustry of refrigeration may be assigned to
seventeenth century England, where natural ice
obtained from nearby ponds was being hawked
from carts by London fishmongers. In Pans also
toward the end of the same century snow and ice
were being sold regularly. By the beginning of
the nineteenth century natural ice had come to
be regarded as an established article of com-
merce and supplies were steadily acquired by
butchers, fish dealers and confectioners.
The natural ice industry was first developed
in the United States and Norway. The pioneer
in the American ice trade was Frederick Tudor
of Boston, who began his business in 1805 by
catering to local needs and by making shipments
of ice to the West Indies and the southern states.
Before very long he had exhausted the possi-
bilities of neighboring ponds and rivers and was
cutting ice in Maine for shipment to the Boston
area. The advent of brewing, particularly in the
middle west, gave a further impetus to the in-
dustry, with the result that m the post-Civil War
period ice making became an important activity
in middle western centers. The census of 1880
estimated that the natural ice harvest, after due
allowance for waste, probably yielded more than
8,000,000 tons for actual consumption. A large
export trade in ice, with the United Kingdom
and the West Indies as the chief markets,
flourished from 1870 to 1890; in 1872, 53,553
tons of ice were exported, but by 1900 the total
had dropped to 13,720 tons. The European trade
was almost completely monopolized by Norway,
which supplied Germany and the United King-
dom, for the most part for their fishing trade.
It is interesting to note that whereas the
Jnited States by the end of the nineteenth
century was a large consumer of ice, in Europe
ice consumption had not yet made any real
progress Natural ice had never been used ex-
tensively for refrigerating purposes, while such
artificial refrigeration as was being practised
was applied chiefly to perishable articles in
wholesale quantities; that is, in the cold storage
industry. Indeed today, even after the great
advances made in mechanical refrigeration, the
United States is still the only country where
refrigeration is generally known and more or less
widely used both for household and for com-
mercial purposes.
From the second decade almost up to the end
of the nineteenth century food preservation by
dehydration, heat sterilization and chemical* was
being more widely used than refrigeration by
natural ice. Tinned, or canned, meat and beef
extract were made available for commercial
exploitation as a result of the inventions of
Nicolas Appert, Augustus de Heine, the
brothers Pelher and Justus von Liebig during
the years 1809 to 1863 In fact by 1880 England
was importing 8000 tons of canned meats from
Australia.
Even prior to the application of mechanical
refrigeration the search for some means of
transporting and storing fresh mecits, fish, fruits
and other perishables without change in their
taste or texture led to experiments with re-
frigeration systems using natural ice or brine
mixed with natural ice. Crude refrigerator cars,
heavily insulated and cooled by tanks or
cylinders of crushed ice and salt, were used in
experimental shipments of meat and fruits in the
United States as early as 1868. Shipments of
chilled and frozen beef from the United States
to England were made in 1874. arid 1875, one of
them using blocks of natural ice in a container
which occupied 25 peicent of the refrigerated
chamber space and another using brine cir-
culated in pipes, cooled by a mixture of ice and
salt. Cold storage warehouses, cooled by blocks
of natural ice or by ice and brine pipes, were in
operation at Boston, Chicago and London by
1875. However, the use of natural ice was limited
by the expense and uncertainty of procuring and
preserving an adequate supply, particularly at
points far distant from the source. It was only
when mechanical ice making machines gradually
came into use that a supply of ice was assured for
refilling the bunkers of railroad refrigerator cars
on 3ooo-mile journeys across the American
continent.
The physical foundations for the present
systems of mechanical refrigeration were laid in
the first quarter of the nineteenth century. The
discovery by physicists of the dependence of
temperature upon pressure provided the theo-
retical basis for experiments with compression
and absorption systems using air or a volatile
liquid as the refrigerant. The inventor of the
forerunner of the modern compression appa-
ratus, his model being patented in 1834 with
ether as the refrigerant, was Jacob Perkins, an
American then residing m England. Many of
the earlier commercial machines introduced by
John Gorrie in the United States and by J. J
Coleman, A. S. Haslam and T. B. Lightfoot in
England also depended upon the expansion and
compression of air. The first successful ship-
ment of meat from Australia to England arrived
in 1880 on the Strathleven, which was equipped
with a Bell-Coleman cold air machine. During
the 1890*8 the dry air machines for reasons of
economy gave way in importance to those based
upon the compression and expansion of a
volatile liquid, such as ammonia, carbon dioxide
or sulphur dioxide. These had been developed
by J. C. De la Vergne in the United States,
Charles Telher and Ferdinand Carre in France,
James Harrison and T. S. Mort in Australia and
Carl von Lmde in Germany between 1850
and 1880.
By 1890 the new methods of refrigerated
storage and transport were well established. The
Mechanical Refrigerating Company began oper-
ation in Boston in 1881. A Chicago ice cooled
warehouse shifted to mechanical installation in
1886 In 1882 on the Victoria Docks in London,
the London and St. Kathcnne Docks Company
installed a cold air machine in a small under-
ground chamber with a capacity of 500 sheep
carcasses Transatlantic ships, beginning \vith
the Circasiia m 1879, were rapidly fitted with
mechanical refrigeration. American railroads
were hauling meats to eastern markets in. re-
frigerator cars, mostly owned by the meat
packers, and were building up a traffic m fruits
and vegetables from California and Florida to
New York City.
The stimulus afforded by refrigeration to the
transportation industry was startling The trans-
continental movement of fruit from the west
coast of the United States to New York City
grew from one experimental shipment m 1889
to 4000 carloads in 1900 and 65,000 carloads in
1927. Deliveries of fruits and vegetables from
the south and west by the Pennsylvania Railroad
at its New York City terminals increased from
7000 packages in 1890 to over 500,000 in 1927
Imports of fresh beef, frozen and chilled, into
the United Kingdom grew from 55 tons re-
ceived from the United States in 1874 to
483,000 tons received in 1910 from South
America, the United States, Australia and New
Zealand. From 1874 to 1910 nearly 5,000,000
tons of fresh beef alone were shipped to Great
Britain from overseas.
The urban consumer was no longer compelled
to depend upon seasonal supplies of perishable
produce obtained only from local sources. In
their History of the Frozen Meat Trade Critchell
and Raymond estimate that the annual United
Refrigeration 197
Kingdom per capita consumption of beef, mut-
ton and pork, which was limited to 72 pounds
in the decade 1851-60, expanded to 1 10 pounds
by 1882, 43 pounds being furnished by imports.
By the 1930*8 the Fruit and Vegetable Trade
Journal of the Covent Garden (London)
Market was able to report that English tables
were being supplied with peaches, plums and
apricots from South Africa; apples from Nova
Scotia and various sections of the United States;
pears from California; grapefruit from the West
Indies; oranges from Java, Spam and California;
and lettuce, asparagus and cauliflower from
France. In 1932 the fresh fruit and vegetable
supply of the New York market was drawn from
43 states and 23 foreign countries at an average
haul of over 1 500 miles The yearly shipments of
fresh fruits and vegetables in the United States
now exceed 1,000,000 carloads, approximately
80 percent of which is under refrigeration.
The rise of refrigerated transportation brought
fundamental changes in the geography of pro-
duction. Meat and lish packers, fruit shippers,
butter manufacturers and poultry dressers
hastened to establish operations in far away
producing sections where supplies were cheap
and abundant but hitherto una\ ailable to world
markets The herds of cattle and flocks of sheep
in Australia and New Zealand and on the Argen-
tine pampas multiplied, \\hile those in England
declined Danish and New Zealand butter
captured the English market. Vast tracts o r
territory, such as the Imperial Valley in south-
ern California, were developed under irrigation
to produce cantaloupes, watermelons, lettuce,
asparagus and tomatoes for consumers nine days
distant by the fastest freight tram. The face of
the production map was altered beyond recogni-
tion by refrigerated transport.
The cold storage industry was another off-
spring of mechanical refrigeration. In the
United States the space in cold storage ware-
houses is estimated to have increased from
approximately 100,000,000 cubic feet in 620
plants in 1904 to nearly 700,000,000 cubic feet
m 1363 plants in 1927. In the latter year about
400,000,000 'cubic feet were located in public
and combined public and private warehouses
handling all manner of perishables, the re-
mainder was in private storage establishments,
primarily those of the meat packers. The growth
of the cold storage industry brought with it
important improvements not only in the tech-
nique of mechanical refrigeration but also in
that of humidity control, protection of products
198
Encyclopaedia of the Social Sciences
by glazing or wrapping, and other measures
which reduce deterioration from desiccation,
oxidation, rancidity, absorption of foreign
flavors, and molds and other contaminations.
Cold storage warehouses act as reservoirs to
carry surpluses of seasonable produce com-
modities over into the period when consumption
exceeds production. Thousands of tons of
apples, pears, poultry, fish, eggs, butter and
cheese are held in terminal warehouses from a
few days to many months. Cold storage ware-
houses are not confined to terminal consuming
areas, many being located in producing areas
and at intermediate transit points. At producing
points they are used for temporary storage and
for precoolmg of fruit to be shipped in refriger-
ator cars. Storage houses at transit points are
used t'> hold products destined for wide distri-
bution and also often form an important adjunct
to the transportation systems in the manufacture
of artificial ice for re-icing of refrigerator cars.
The growth of the cold storage industry was
accompanied by public complaint against the
sale of cold storage products without proper
identification as well as against the alleged
monopoly of distributing channels and the
manipulation of prices. In the United States
this resulted, beginning with 1911, in the ap-
pearance of legislative and administrative regu-
lations of the conduct of the industry and the
sale of cold storage products. As a rule the basic
laws provided that cold storage plants should be
placed under the inspection of state authorities,
that cold storage goods should be marked as such
and that goods could be retained in cold storage
for limited periods only (6 to 10 months). In
recent years there has been a tendency to repeal
such laws and to substitute minimum quality
specifications for certain products, such as eggs,
regardless of the length of time held in re-
frigeration. The alleged monopoly features of
the cold storage business have been generally
met by laws placing warehouses under the
regulation of public officials.
The manufacture of artificial ice was another
development of mechanical refrigeration. The
ice manufacturing industry in the United States
increased from 775 plants in 1899 to 41 10 plants
in 1929, employed 6880 wage earners in the
earlier years as compared with 32,184 in the later
year and manufactured 4,000,000 tons of ice in
1899 as compared with 44,000,000 tons in 1929.
By 1918 the production of artificial ice in New
York City exceeded the receipts of natural ice
harvested from the upper Hudson River. By
that year there were approximately 100 plants
with a combined daily capacity of 16,335 tons,
which were manufacturing and selling i ,800,000
tons per annum of artificial ice in New York
City.
The corporate history of the ice business in
recent years has followed the familiar course of
other industrial activities. Consolidations and
mergers of companies have taken place and the
appearance of public utility companies in the ice
manufacturing field has been of particular
interest. However, plants have not increased in
size and the ice business still seems to be largely
localized Freight rates and handling charges are
high, and there is considerable loss of weight and
deterioration of quality when ice is kept in
freight cars. In order to protect itself from com-
petition the industry, through trade associations,
has worked out informal agreements, combina-
tions of delivery systems and consolidations of
local companies. As Mr. Justice Brandeis in his
dissenting opinion in New State Ice Company v,
Liebmann [285 U. S. 262 (1932)] has pointed
out, the ice business in the United States has
acquired many of the attributes of a monopoly.
In Europe and elsewhere, because the con-
sumption of ice is not nearly so common, the
industry is relatively unimportant. The maxi-
mum daily output of ice in London was esti-
mated in 1923 to be about 2000 short tons, as
against 1 6 ,000 tons in New York City as of 1 9 1 8 .
Ice production and consumption in tropical
cities are much lower than in cities of similar
size in the United States. In 1923 the output
during the warm season in Mexico city (popula-
tion 968,000) was estimated at 150 tons per day;
in Havana (population 585,000), 700-800 tons
per day. In a number of European cities ice
plants are owned and operated by municipal
authorities.
A recent development of great potential
significance in the preservation of foodstuffs by
refrigeration is the so-called quick freezing (less
than i hour) of fish fillets, cut meats and fruits
and vegetables. The process of freezing whole
fish has been known and practised for more than
60 years, but the earlier methods required a
period of from 10 to 48 hours. In the decade
before the World War German experiments and
small scale Danish and Norwegian commercial
activity in freezing fish by direct immersion re-
vealed that quick freezing resulted in a superior
product in that the flesh of fish frozen in this
manner retained its juices, flavor and texture
much better upon defrosting than did the slow
frozen fish. Authorities are not in entire agree-
ment as to the explanation of this phenomenon.
Some advance the theory that the smaller ice
crystals formed in the tissues by quick freezing
are more easily contained in the elastic cell wills
and do not rupture the membranes or allow the
juices to flow out upon defrosting Others call
this physical, or mechanical, explanation errone-
ous, as evidenced by experiments which show
that destruction of cell structure in fresh fish by
mechanical means results in very little loss of
juice These authorities seek the explanation of
the superiority of quick freezing in colloid
chemistry
At all events the introduction of quick freezing
began m 1924 to revolutionize the fish industry
of the United States and has since made some
progress m the meat, fruit and vegetable indus-
tries In 1929 a total of 120,000,000 pounds of
fish was reported as frozen by the various ware-
houses and free/ing plants in the United States.
The more modern methods of quick free/sing
substitute indirect contact for dneet contact with
brine by immersion or spray. Fish fillets, cut
meats and packages of fnuts are placed in metal
plates or pans \\luch are immersed or iloated m
or sprayed by brine solutions, ranging in
temperature from o to 50 Fahrenheit ac-
cording to the process employed.
The quick f to/en product is packaged either
before or after free/mg, stored at a low tempera-
ture and distributed in insulated cartons by re-
frigerated freight cars and trucks. Among the
advantages claimed for quick frozen products, in
addition to the palatabihty, attractiveness and
convenience to the consumer, is the reduction,
in wastage. For example, under the old method
of distribution 185 pounds of inedible portions,
ice and container accompanied every 40 pounds
of edible fresh fish. Now the 40 pounds are
shipped in attractive, branded packages, self-
refrigerated, and the inedible portion is con-
verted into useful by-products at the packing
plant.
Extreme price fluctuations and glutted whole-
sale markets have largely been eliminated m the
fish industry by the new methods of distribu-
tion, founded upon the quick freezing process.
On the other hand, it is now possible to build up
nore or less permanent surpluses of cold storage
warehouse stocks, which may affect the long
time trend of prices. In this respect the fish
industry may be following the meat, butter,
cheese, egg and poultry trades, where refrigera-
tion and cold storage warehousing have brought
Refrigeration 199
new price making factors into being by conserv-
ing and carrying over seasonal supplies
Outside offish distribution quick freezing has
made but limited progiess An impressive
number of products, including steaks, chops and
roasts, berries, peaches, cherries, peas, beans
and spinach, have been frozen and offered for
sale to the consumer at certain retail markets and
in hotels, restaurants and institutions. There are
numerous problems and difficulties yet to be
solved before these products can be said to have
achieved a significant position m the food trades
or the family diet.
Some of these are production problems re-
lated to the quality and cost Much remains to be
done in the field of production research The
high cost of fixed plant installations combined
with the seasonal character of supply, particu-
larly in fruit and \egctable areas, presents diffi-
culties \\hich may perhaps be met by the use of
mobile equipment. Distribution problems are
equally important. Quick fro/en foods must be
stored and handled at lower temperatures than
other products Adequate low temperature rail
and tiuck transposition and cold stoiage
facilities are not alwajs available The ordinary
retail market or grocery store is ill equipped to
store or display goods at lo-v temperatures A
number of companies are now engaged in the
manufacture of refrigerated display cabinets,
but the cost is such that the retailer with little
capital must be financed in his purchase of this,
equipment.
Nor is the consumer prepared to accept
frozen foods on a large scale Fewer than 20 per-
cent of the houses wued with electricity in the
United States have automatic refrigeration
systems Sales of electric household uruts in-
creased from 4000 m 1921 to 965,000 m 1931.
Total installations were estimated at the close of
1932 as over 4,000,000 The principal obstacle
to the spread of fro/en food consumption, how-
ever, is the availability of fresh, unfrozen prod-
uce at all seasons of the year, transported under
refrigeration at relatively low cost.
The growing importance of perishable foods,
whether fresh or frozen, reflects the triumph
of refrigeration. At least 75 percent of the
family food purchases of the urban consumer m
the United States fall within the perishable
class fresh meat, poultry, milk, butter, cheese,
eggs, fruits and vegetables, fish. It is common
observation that this portion, particularly milk,
fish, fruits and succulent vegetables, has been
growing, while the consumption of cereals and
Encyclopaedia of the Social Sciences
200
of dried and canned products is increasing less
rapidly or actually declining.
W. P. HLDDEN
See FOOD SUPPLY, FOOD INDUS inns, section on
FOOD DISTRIHUIION, MPAI PACKING AND SLAUGHIER-
INO, DAIRY INDUS IRY, FRUIT AND VFGtiAULE INDUS-
TRY; AGRICULTURAL MARKTTING, WAREHOUSING, TER-
MINALS, RAILROADS
Consult' "The Tenth Anniversary of Ice and Refrig-
eration," "Historical Review of the Rise of Mechani-
cal Refrigeration," and "Ice Making and Refrigera-
tion Industries" in Ice and Refrigeration, vol xxi
(1901) 1-16, 45-59, 89-102, 125-29, 207-08, 222-30,
and vol h (1916) 141-86, Cntchell, T T , and Ray-
mond, J , A History of the Frozen Meat Trade (Lon-
don 1912); Springett, B H , Cold Storage and Ice-
Making (London 1921), Duddy, E. A, The Cold-
Storage Industry in the United States (Chicago 1929),
United States, Department of Agriculture, Bureau of
Statistics, "Cold Storage Business Features," and
"Cold Storage and Prices," by G K. Holmes, Bulle-
tin, nos 93 and 101 (1913); Taylor, H. F., "Solving
the Problems of Rapid Freezing" and "What Happens
during Quick-Freezing" m Food Industries, \ol. n
(1930) 146-51, and vol m (1931) 205-06, New York
Food Marketing Research Council, "Developments
in the Production and Distribution of Frozen Food"
in Proceedings of i6th Regular Meeting (mimeo-
graphed, New York 1930), Hedden, W P, How
Great Cities Are Fed (Boston 1929), International
Congress of Refrigeration, Reports and Proceedings,
ist-5th Congresses (1908-28), International Institute
of Refrigeration, Monthly Bulletin, published m Pans
since 1910, National Association of Ice Industries,
Proceedings of the Annual Convention, published in
Chicago since 1919, Ice and Refrigeration, published
monthly in Chicago since 1891.
REFUGEES. Any person who under the stress
of force majeure has left his home and become
dependent on the hospitality of others is a
refugee. For the purposes of the present dis-
cussion, however, the designation may be re-
stricted to persons who have left the territory
of the state of which they are or were nationals
and no longer enjoy the effective protection of
that state.
Even this definition covers a wide variety of
cases. There is the individual political refugee
who is still legally able to return to his state
but does not do so because return would expose
him to disagreeable consequences. There are
cases in which some of the inhabitants of a
country, including at times the government,
have fled across its frontiers before invading
forces. In older days it was not uncommon for
an entire national community to migrate, aban-
doning its former territory to an enemy.
The individual political refugee has been a
familiar figure in history. Since the days of
David and of Coriolanus it has been common
for a prince or pretender, worsted in his home
country, to find welcome and support, alone or
with his adherents, at the court of some neigh-
boring state. This situation still recurs (as
recently as 1924 the present king of Albania
was sheltered and assisted in making a bid for
power in Jugoslavia) and will continue so long
as states exist which are anxious to exploit the
embarrassments of their neighbors. At the pres-
ent time, when politics are based less on dynastic
considerations and more on broad social tend-
encies, it has become common for a state to
welcome the victims of a social regime dissimilar
to its own. Thus the non-revolutionary coun-
tries of Europe sheltered the emigres of the
French Revolution, and states with liberal insti-
tutions, such as England and Switzerland, have
often harbored refugees from the rule of autoc-
racies. Mazzini, Karl Marx, Lenin and Trotsky
stand out as famous examples of refugees of this
type. Many countries make it a point of honor
to grant an unrestricted right of political asylum,
although this has often involved them in diffi-
culties with the governments concerned. In fact
many revolutions have been hatched on foreign
soil On the other hand, the part played by refu-
gee movements in keeping alive the national
spirit of a country oppressed by a foreign
autocracy has often been very important; notable
cases are those of the Magyar emigration after
1848 and the Polish exodus after 1863. Since
1919 Pans and Vienna have been the main cen-
ters for political refugees. Some of these settle
down permanently abroad, but most of them
hope and many are able to return eventually to
their homes. Their numbers are generally few,
and if their political importance has often been
very great, the economic problem which they
present is small, particularly when they are
supported either by comrades at home or by
sympathizers, private or official, in their place
of refuge. As a rule they consist chiefly of the
intellectual class, which requires little capital to
establish itself.
The problems presented by large scale refu-
gee movements vary widely. In earlier days,
when the prevailing mode of life was still largely
nomadic, it was quite common for whole na-
tional communities to become refugees. Refugee
movements are indeed difficult to distinguish
from simple migrations or wars of conquest, and
such distinctions as can be made are often
blurred by later events; but it may be fair to
treat as refugee cases only those in which the
Refrigeration Refugees
persons involved were more or less at the mercy
of those receiving them.
It is impossible to do more than give ex-
amples of this type of movement. For some
centuries the Roman Empire received innumer-
able national communities of refugees, mainly
of Germanic or Turki origin. When few in num-
bers, they were usually drafted with the army;
when numerous, they were given the status of
foederati\ that is, they were left under their own
chiefs, given lands, generally on the frontier,
and employed on frontier defense. In an age in
which land was plentiful, population sparse, the
standard of living low and its manner simple the
economic problem involved by this process was
not at all complex; a grant of vacant land and
perhaps a supply of one harvest's seed corn
commonly sufficed Occasionally emergency re-
lief was given; the failure to supply such relief
when promised to an exceedingly powerful body
of refugees, the Visigoths, and attempts by the
local population and officials to profiteer at their
expense led in 378 to one of the decisive battles
of the world, that of Adnanople. Outbreaks of
plague, cholera and similar epidemics were ap-
parently frequent among the refugees, and those
who had no military value were often enslaved.
The ethnographical and political consequences
of the large scale admission of these communi-
ues were very great, for w hen the central author-
ity weakened they recovered their independence
and formed national states in their new homes.
Similar movements went on throughout the
Middle Ages, particularly in the countries bor-
dering on the great and ever unquiet Eurasian
steppe A variety of tribes took refuge with the
various Russian princes or the kings of Hun-
gary. They were usually granted land for settle-
ment and certain economic and social safeguards
(eg. self-government, exemption from taxa-
tion), in return for which they had to perform
military service whenever required. The famous
Cossack bands of south Russia originated with
Turki hordes who had taken refuge from
stronger nations in the steppe, being reenforced
by Russian and Ukrainian runaway serfs and
masterless men, who preferred dangerous lib-
erty to tilling the land under a Polish or a
Russian lord. In 1239 Hungary received 200,000
Cumans, the survivors of a great battle with the
Mongols on the Volga, and later Hungary and
Austria gave shelter to many Serbian and other
fugitives from the advancing Osmanli Turks. In
doing so they provided themselves with sorely
needed military reenforcements: but th^ benefit
201
was not unmixed. The wild immigrants solved
their own econornw problem by plundering the
local peasants; while, since man power was valu-
able, the loss of it was resented by the ruler
from whom the refugees had fled. The Mongol
khan used the pretext that the king of Hungary
was sheltering his fugitive slaves (the Cumans)
to invade and practically destroy Hungary. A
similar complaint by the Turkish khan with
regard to Justinian's relations with the fugitive
Avars in 558 had led to the first diplomatic
relations between Europe and central Asia.
The part played by refugee movements in
spreading knowledge has often been important.
The manuscripts brought to western Europe by
fugitive Greek monks after the fall of Constan-
tinople gave an immense impetus to the revival
of learning and arts known as the Renaissance;
and knowledge of other types was widely spread
by the religious refugees who were so numerous
in a somewhat later age when, as condition;, of
life became more settled, national migrations
ceased to be frequent (although they occurred
up to quite modern times m central Asia and
Africa)
From the sixteenth century to the eighteenth
the commonest type of refugee was the reli
gious. It is hardly necessary to stress the part
played by such refugees in many events of world
importance, such as the formation of the United
States If some of the earlier American colonists
were adventurers, many were true religious refu-
gees, such as the Pilgrims of the Mayflower and
the earlier inhabitants of Pennsylvania, which,
founded as a Quaker colony, afterwards became
a home of refuge for dissidents of many other
faiths. Land was still plentiful, and many of
these refugees had time to make their prepara-
tions and to take with them the supplies neces-
sary for their establishment. The American
colonists moreover retained the protection of
their governments and were not altogether in a
friendless condition.
Far worse of course was the case of victims
of fanaticism, such as the Moors expelled from
Castile in 1502 or the Moriscos driven out in
1609, who were given only three days to embark
and allowed to carry only their personal prop-
erty with them; the sale of their immovable
property was expressly forbidden. No provision
was made for their reception in Barbary, and
most of the half million or more victims per-
ished.
The story of the Protestants expelled from
various Catholic countries during the Counter-
Encyclopaedia of the Social Sciences
202
Reformation is much happier They were usu-
ally welcome in Protestant countries, both out
of religious solidarity and for their useful virtues;
and while their expulsion nearly always impov-
erished the country which they left, their recep-
tion enriched that which they entered. English
weaving, water engineering and finance owe
much to the Dutch merchants, weavers and
artisans who fled from the terrorist rule of the
duke of Alva and to the later Huguenots; and
Prussia had no more useful colonists for the
waste spaces of the present Polish Corridor
than the Austrian Protestants expelled from
Salzburg.
A special and important place in the history
of the movement is held by the Jews, who may
be called a nation of refugees. In the Middle
Ages and the Renaissance their experience was
parallel to that of other religious refugees. In the
fourteenth century masses of them fled from
Germany before the crusaders and Flagellant
friars but were received hospitably by the kings
of Poland and Lithuania, who granted them
substantial privileges and assigned them the role
of a middle class. Since there had hitherto been
virtually no middle class in eastern Europe, the
influx caused no grea* dislocation of the eco-
nomic life, particularly as the Jews were denied
admission to existing guilds and industrial cor-
porations Likewise the professed Jews expelled
from Spain in 1492 were well received in the
Ottoman Empire, which saw the benefit of in-
troducing an intelligent middle class. The indi-
vidual loss and suffering attendant on these large
scale migrations were, however, very great. The
German Jews were fleeing for their lives; the
Spanish Jews had received four months' notice
but had no adequate means of disposing of their
property or collecting debts due them.
In the late nineteenth and the early twentieth
century a steady stream of Jewish refugees from
actual or threatened persecution in Russia and
Rumania poured westward into England and
the United States For the first time these refu-
gees had to face the modern problem of fitting
into a social organization already highly devel-
oped. As, however, the labor market was still in
general expanding, the difficulties could be met
by transitional assistance and relief. To this end
the great Jewish associations were formed; the
Alliance Israelite Universelle, for example, car-
ried through remarkable work in assisting mi-
gration, organizing emergency relief, advancing
settlers the means to establish themselves, main-
taining schools and assisting poor scholars. The
Jewish Colonisation Association was concerned
principally with agricultural settlement. It
founded colonies as far apart as Russia and
Brazil, Palestine and the United States. The
later emigrants generally enjoyed the help of
relatives who had preceded them. Thus the Jews
led the way in organizing the essential of refugee
settlement provision in advance of the means
to tide over the transitional period.
Refugee movements of the old type still
occurred in the Balkans, particularly in Mace-
donia, where at least four nations Turks, Bui-
gars, Serbs and Greeks were contending for
mastery, each taking every opportunity to de-
stroy all members of the exceedingly mixed
population which did not belong to its own
nationality. Each bout of fighting or change of
sovereignty thus gave rise to large refugee
movements, the members of the defeated na-
tionalities fleeing to their kinsfolk. It has been
estimated that in Macedonia alone, in the short
period from 1912 to 1925, seventeen migratory
movements took place, hundreds of thousands of
persons being affected Bulgaria alone received
some 250,000 immigrants from 1878 to 1912.
All Balkan countries were affected, and a
rough and ready exchange of population took
place, the incoming refugees driving out earlier
inhabitants of a hostile nationality and settling
on their lands. In 1913 the idea arose of organ-
izing this exchange. Meanwhile various west
European and American committees helped to
relieve the distress. Charitable bodies, like the
Quaker societies, began to organize emergency
relief in all parts of the world for refugees who
hoped to return to their homes when the crisis
was past. The foundation of the International
Red Cross Society was also of inestimable value.
The importance of modern organization was
tested m the World War, when the governments
and considerable fractions of the populations of
Belgium, Serbia and Montenegro fled from their
homes before the armies of the Central Powers.
Two hundred thousand Belgian refugees en-
tered France, and an equal number took refuge
in England. The latter were received and cared
for by the War Refugees Committee headed by
Lord Hugh Cecil, financed by voluntary sub-
scription with government assistance and facili-
ties. After a transitional period the refugees were
absorbed into the economic life of the country
and after the war were repatriated. The Serbian
government was established in Corfu and the
refugees, after transportation in allied vessels to
that city, were distributed throughout Europe
although largely in France, being supported by
voluntary effort and by the allied governments.
Although the mortality among the refugees was
high, the organization for dealing with them
was certainly more efficient than any which had
preceded it.
After the war there was an influx in the
opposite direction, from the succession states
into the territory of the Central Powers. The
governments concerned were usually prepared
to receive and to grant nationality to refugees
of their own race. The German Fluchtlmgsfur-
sorge maintained concentration camps and plac-
ing offices. Hungary gave many Magyar refugees
posts in its administrative services, thus gravely
burdening the national budget. The fate of
unwanted elements, however, was tragic These
were too often refused naturalization and were
relegated to the ranks of the stateless.
A far more serious problem was created by
the exodus from Russia. As a result of the
Russian Revolution and subsequent crvil wars
millions of Russians had been uprooted, and of
these about 1,500,000 members of the former
ruling class or of counter-revolutionary armies
were clearly unable to return to their native
country In 1919 and 1920 about 100,000 of
these were in Manchuria, from 300,000 to
400,000 in France and Germany each and the
remainder in eastern Europe. The sudden arrival
of General Wrangel's counter-revolutionary
army in Constantinople made that city a special
center of congestion and extreme misery.
The allied governments, the charitable organ-
izations and the east European states were
spending large sums on relief; but this could not
continue indefinitely, particularly as the last
named were themselves very impoverished It
was urgently necessary to relieve the congested
centers and place the refugees throughout the
world where they could find work. For this pur-
pose an international authority was indispen-
sable, particularly since many refugees had no
identity papers whatever and governments were
often extremely suspicious of Russian refugees
as possible Bolshevik agents.
In 1921 the International Red Cross and other
great charitable societies requested the League
of Nations to appoint a high commissioner to
supervise the work in connection with the
Russian refugees, define their legal position,
organize their employment and repatriation and
coordinate the efforts of the charitable organi-
zations. In August, 1921, Fridtjof Nansen was
appointed League high commissioner.
Refugees 203
Besides the Russians Nansen subsequently
took charge of the 200,000 to 250,000 Armenians
who had survived the war and the massacres in
Turkey and had fled into Greece, Bulgaria or
the new French mandated territory of Syria,
with some smaller groups of Assyrians, Assyro
Chaldeans and a few Turks who likewise had
no natural protectors. The League has refused,
however, to take over the "stateless persons" of
central Europe or such political refugees as the
Ruthenes and Montenegrins. These remain
dependent on chance or charity.
The work was carried on first by Nansen,
then, under his supervision, by the International
Labor Office and after Nansen's death by the
Nansen International Office for Refugees, an
internationa 
